COMMISSION STAFF WORKING DOCUMENT Priorities for international cooperation in research and innovation Accompanying the document REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Implementation of the strategy for international cooperation in research and innovation
Date: 2016-10-13
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EU research policy, Framework Programme for Research and Development, innovation, international cooperation, research and development, scientific cooperation, third country

EN 

   EN 

   EUROPEAN COMMISSION  Brussels, 13.10.2016  SWD(2016) 329 final   COMMISSION STAFF WORKING DOCUMENT Priorities for international cooperation in research and innovation Accompanying the document REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Implementation of the strategy for international cooperation in research and innovation  {COM(2016) 657 final}  
 
 
Table of Contents 

1.  ENLARGEMENT AND EUROPEAN NEIGHBOURHOOD POLICY 

COUNTRIES ............................................................................................................... 2 

1.1.  Enlargement Countries ...................................................................................... 2 

1.2.  Eastern Partnership Countries ........................................................................... 4 

1.3.  Southern Neighbourhood Countries .................................................................. 7 

2. 

INDUSTRIALISED COUNTRIES AND EMERGING ECONOMIES* ................. 10 

2.1.  Australia .......................................................................................................... 10 

2.2.  Brazil ............................................................................................................... 13 

2.3.  Canada ............................................................................................................. 16 

2.4.  China ................................................................................................................ 19 

2.5. 

India ................................................................................................................. 23 

2.6.  Japan ................................................................................................................ 25 

2.7.  Mexico ............................................................................................................. 29 

2.8.  New Zealand .................................................................................................... 32 

2.9.  Republic of Korea ............................................................................................ 34 

2.10.  Russian Federation .......................................................................................... 37 

2.11.  United States .................................................................................................... 39 

3.  DEVELOPING COUNTRIES / REGIONS .............................................................. 42 

3.1.  South Africa ..................................................................................................... 42 

3.2.  African Union .................................................................................................. 45 

3.3.  ASEAN ............................................................................................................ 48 

3.4.  CELAC ............................................................................................................ 50 

* Presented in alphabetical order 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.  ENLARGEMENT AND EUROPEAN NEIGHBOURHOOD POLICY COUNTRIES 

1.1.  Enlargement Countries 

1.1.1.  The Enlargement Countries as partners of the EU 

Cooperation  with  the  EU  enlargement  countries  (currently  six  candidates  and  potential 
candidates  from  the  Western  Balkans1  and  Turkey)  has  focused  on  facilitating  their 
integration into the European Research Area (ERA), inter alia through association to the 
EU Research and Innovation Framework Programme Horizon 2020. 

The  enlargement  countries  have,  given  their  pre-accession  status,  a  special  place  and 
importance  for  the  EU  with  respect  to  research  and  innovation.    All  enlargement 
countries,  except  Kosovo2,  have  signed  association  agreements  to  the  Horizon  2020 
programme  and  therefore  contribute  financially  to  it.  Entities  from  Kosovo  are,  given 
their level of development, also eligible for funding. 

Association  to  Horizon  2020  is  the  strongest  form  of  cooperation  offering  entities 
established in the associated countries the same research and innovation opportunities as 
enjoyed by entities from the Member States. Through their association, the enlargement 
countries  are  also  invited  to  nominate  observers  in  the  different  Horizon  2020 
programme  committees  allowing  them  to  become  familiar  with  EU  decision-making. 
Representatives of the associated enlargement countries may also be invited to nominate 
observer  delegates  in  ERA  policy  bodies  such  as  ERAC.  Given  the  pre-accession 
context, this aims at preparing these countries to take up effectively the EU acquis by the 
time they become a Member State. 

Accession  negotiations  with  Montenegro  on  the  acquis  on  science,  research  and 
innovation (accession negotiations Chapter 25) were opened and provisionally closed in 
December  2012;  accession  negotiations  with  Serbia  were  opened  in  January  2014  and 
preparations  on  Chapter  25  are  ongoing.  With  Turkey  the  accession  Chapter  25  was 
opened  and  provisionally  closed  back  in  June  2006.  Progress  is  being  monitored  on  a 
regular basis in the annual report for all seven enlargement countries. This also allows the 
creation of synergies with funding under the Pre-Accession Instrument (IPA II). On the 
regional level, a Western Balkans Regional R&D Strategy for Innovation (with support 
from IPA), was adopted in Zagreb in October 2013 to encourage regional integration in a 
number  of  key  areas.  Under  the  EU  Macro-Regional  Strategies  with  respectively  the 
Danube  countries  and  the  countries  of  the  Adriatic  and  Ionian  region,  cooperation  on 
research and innovation in a number of specific areas has also been included as a way to 
foster closer socio-economic relations and create growth and jobs. Finally, meetings with 
all West Balkan countries and regional stakeholders take place on a regular basis in the 
Steering  Platform  on  Research to  take  stock  and  create  synergies  between  the  different 
actions  and  stakeholders  aiming  at  strengthening  regional  integration  and  the  R&I 
capacity in the Balkan region. 

1.1.2.  Priorities for S&T cooperation 

The  performance  of  enlargement  countries  in Horizon  2020  is  quite heterogeneous  and 
on  average  comparatively  low.  The  best  performing  entities  are  those  of  Turkey 
(especially  in  the  fields  of  energy,  food  and  nanotechnology  as  well  as  participation  in 

1  Albania,  Bosnia  and  Herzegovina,  the  former  Yugoslav  Republic  of  Macedonia,  Kosovo,  Montenegro 

and Serbia. 

2  This  designation  is  without  prejudice  to  position  on  status,  and  is  in  line  with  UN  Security  Council 
Resolution  1244/1999  in  the  International  Court  of  Justice  opinion  on  the  Kosovo  declaration  of 
independence. 

3 

 
 
 
                                                 
the SME instrument) and Serbia (mainly in ICT, energy and health). This relatively weak 
performance  can  be  explained  by  several  factors;  in  particular  medium  or  low  R&I 
capacity  at  national  level,  lack  of  comprehensive  national  research  and  innovation 
strategies and weak networks with EU researchers. Concentrating efforts on a number of 
selected research priorities is likely to help improving the research landscape in general 
and  the  participation  in  Horizon  2020  in  particular.  For  example,  the  Western  Balkans 
could benefit from focusing on research areas of common interest with partners from the 
Danube  and  Adriatic-Ionian  EU  macro-regions  and  engaging  into  a  preparation  of  the 
Smart Specialisation Strategies. On the latter, expertise of the EC and in particular of the 
JRC in designing and implementing Smart Specialisation Strategies shall contribute to a 
better  governance  and  coordination  of  the  R&I  activities  and  in  turn  to  a  better  
participation in the EU research programmes. 

1.1.3.  Framework conditions 

As mentioned above, a substantial part of the cooperation with the Enlargement countries 
consists  in  preparing  for  compliance  with  the  EU  acquis  on  science,  research  and 
innovation.  Having a good research and innovation capacity at national level and good 
framework conditions are likely, in turn, to increase their participation in Horizon 2020. 

As  of  today  none  of  the  enlargement  countries  fully  benefit  from  the  ERA.  To  begin 
with, the level of investment in R&D is still very low to medium, ranging from 0.10% of 
GDP  in  Kosovo  to  0.77%  in  Serbia  and  almost  0.96%  in  Turkey.  In  addition,  the 
allocation  of  funding  is  not  sufficiently  competitive  (ERA  priority  1)  and  does  not 
sufficiently  set  priorities  in  line  with  EU  priorities  aiming  at  concentrating  efforts  in 
addressing  the  societal  challenges  (ERA  priority  2).  Only  Montenegro  has  a  national 
roadmap  for  infrastructures  in  line  with  the  ESFRI  (European  Strategic  Forum  on 
Research  Infrastructures)  Roadmap.  Human  capital  availability  is  also  weak3  and 
effective compliance with the Charter and Code of Conduct for recruitment principles is 
low  (ERA  priority  3).  On  gender  equality,  all  countries  are  close  to  gender  parity 
although  women  are  still  underrepresented  in  management  functions.  On  open  science 
and access to data, most Western Balkans are not fully aware of the principles of Open 
Access  and/or  lack  the  capacity  to  implement  them.  Some  Turkish  universities  have 
started  to  implement  open  access  to  data  but  further  efforts  are  necessary  on  Open 
Science skills such as on data management and re-use. With Turkey, the importance of 
acting  in  compliance  with  the  ERA  actions  was  discussed  in  October  2015  in  a 
conference organised by the Commission together with six leading Turkish universities. 
Following this  event, the six universities created an Alliance and  made  action plans on 
reform  in  the  universities  in  line  with  the  ERA  actions.  With  the  Western  Balkans  a 
Workshop on ERA actions was organised in March 2016. 

Many of the countries are in the process of designing or updating a national strategy on 
science, research and innovation but several face the challenge to identify a clear vision 
and  the  knowledge  and  means  to  implement  them.  To  streamline  their  efforts,  the 
Commission's Policy Support Facility could help. At the same time, in the context of the 
Economic  Reform  Programme  (ERP)  process  which  was  launched  to  prepare  for  the 
European Semester exercise, all enlargement countries have recognised that research and 
innovation are drivers of economic reform and competitiveness and plan for this purpose 
to deploy IPA II funding to strengthen their research and innovation capacity at national 
level.  

3  In  the  West  Balkan  countries  the  number  of  R&D  personnel  in  percentage  of  total  employment  (FTE) 
ranges  between  0.13%  and  0.60%.  In  Turkey  the  number  is  0.45%  (Unesco  Institute  of  Statistics, 
2013). The EU28 average for the same year is 1.26% (Eurostat). 

4 

 
 
                                                 
1.2.  Eastern Partnership Countries 

1.2.1.  The Eastern Partnership Countries as partners of the EU 

The Eastern Partnership (EaP), launched at the Prague Summit of 7 May 2009, is a joint 
initiative  of  the  EU  and  six  Eastern  European  partner  countries  (Armenia,  Azerbaijan, 
Belarus,  Georgia,  Republic  of  Moldova4  and  Ukraine)  that  aims  to  bring  Eastern 
European countries closer to the EU. At bilateral level, the EU is committed to building 
strong  and  mutually  beneficial  relations  with  all  six  partners,  irrespective  of  their 
individual  level  of  ambition  in  their  relations  with  the  EU.  The  Association 
Agreements/Deep  and  Comprehensive  Free  Trade  Areas  (AA/DCFTAs),  concluded  in 
2014, have brought the relations between the EU and Georgia, Moldova and Ukraine to a 
new  level.  These  agreements  aim  at  strengthened  political  association  and  economic 
integration. They constitute a plan of reforms that will bring the partner countries closer 
to  the  EU  by  aligning  their  legislation  and  standards  to  those  of  the  EU,  and  improve 
peoples' lives in a tangible way. 

A  more  tailored  approach  to  relations  with  Armenia,  Azerbaijan  and  Belarus  will  help 
ensure  the  inclusive  nature  of  the  Eastern  Partnership.  A  new  agreement  is  being 
negotiated  with  Armenia,  whose  political  and  economic  cooperation  with  the  EU  will 
take account of Armenia's other international commitments. The EU is also considering 
entering  into  a  closer  relationship  with  Azerbaijan,  to  better  reflect  our  respective 
interests and values. For Belarus, the EU is deepening its critical engagement in carefully 
calibrated mutual steps. 

The  Eastern  Partnership  Riga  Summit  held  in  2015  identified  four  main  areas  of 
cooperation  between  the  EU  and  its  partners,  namely:  strengthening  of  institutions  and 
good  governance;  mobility  and  people  to  people  contacts;  taking  advantage  of  market 
opportunities;  and  enhancing  interconnections,  notably  in  the  areas  of  transport  and 
energy.  

In  November  2015  the  review  of  the  European  Neighbourhood  Policy  responded  to 
changes  and  challenges  in  the  neighbourhood,  identified  enhanced  differentiation 
between  and  greater  ownership  by  partner  countries  as  key  principles  for  future 
cooperation including in the context of the Eastern Partnership. This approach has overall 
been welcomed by all partners. 

Besides  the  continuous  bilateral  and  multilateral  political  dialogue,  technical  work  is 
structured on four thematic platforms, whose work programmes 2014-2017 were revised 
in the beginning of 2016 to better reflect the current needs and priorities of the partners. 

1.2.2.  Priorities for S&T cooperation 

Two  fields  of  intervention  have  been  identified  as  priority  areas  for  cooperation  in 
research and innovation with EaP countries: common societal challenges to focus on, and 
cross-cutting  issues  to  address  as  priorities  in  order  to  improve  the  cooperation 
framework conditions. This priority setting was based on contributions received from EU 
Member States and EaP countries that were consolidated by an expert group mandated by 
the EaP Panel on Research and Innovation5. 

4 Hereafter referred to as Moldova. 
5 The EaP panel on research and innovation gathers senior officials from both EU and EaP countries and is 
attached  to  the  EaP  platform  4  "contacts  between  people"  addressing  bi-regional  cooperation  in  the 
fields of education, youth, culture, ICT, research and innovation. 

5 

 
 
 
                                                 
Collaborative  research  and 
innovation  activities  should  concentrate  on  health, 
demographic  change  and  well-being  (e.g.  through  multilateral  cooperation  such  as  the 
Global  Collaboration  for  Infectious  Disease  Preparedness),  climate  action  and 
environment, and secure, clean and efficient energy. 

Although  a  challenge-based  approach  is  proposed,  particular  attention  should  also  be 
given to cooperation activities on key enabling technologies listed in Horizon 2020 with 
particular focus on ICT, nanotechnologies, new materials, and space. 

In  order  to  identify  more  precisely  the  topics  of  mutual  interest  in  the  three  societal 
challenges  prioritised  by  the  EaP  Panel,  a  series  of  thematic  policy  stakeholders 
conferences and brokerage events have been organised6. In parallel, a number of ongoing 
regional  FP7  projects7  are  currently  assessing  framework  conditions  for  cooperation  in 
the field of innovation and analysing opportunities and challenges for research-industry 
partnerships across the two regions. The status of these projects was presented during the 
last  EaP  Panel  meeting  in  March  2015,  and  working  on  the  challenges  ahead  was 
identified as a priority, notably related to technology transfer issues. 

Awareness raising and training events on smart specialisation can pave the way for better 
streamlined collaboration in the priority areas of research and innovation. 

1.2.3.  Framework conditions 

Three  out  of  the  six  EaP  countries  –  Moldova,  Ukraine  and  Georgia  –  are  already 
associated to Horizon 2020.  The association of Armenia is expected to become effective 
soon.  

These associations are major steps forward in the improvement of framework conditions 
for  cooperation  with  the  EU.  As  an  example,  Moldova  and  Ukraine  requested  support 
from the Policy Support Facility in order to review and increase the competitiveness of 
their national research and innovation system and make them further compatible with the 
EU.  A  peer  review  of  the  Moldovan  national  research  and  innovation  system  was 
launched in November 2015 through the Policy Support Facility. The same exercise was 
launched for Ukraine during March-September 2016. 

In  order  to  further  improve  framework  conditions,  the  cross-cutting  priorities  on  which 
the  efforts  should  be  concentrated  include  sharing  best  practice  between  EU  Member 
States  and  EaP  countries  in  research  and  innovation  management  and  establishing  a 
regional evaluation platform, providing technical assistance and training to support EaP 
countries  in  improving  their  national  research  and  innovation  systems,  promoting 
researcher  mobility  and  common  use  of  research  infrastructures,  notably  through  the 
creation of a regional network of Centres of Excellence (a new initiative, EaPConnect, to 
develop  a  regional  EaP  Research  and  Education  Network  and  its  interconnection  to 
GEANT  was  launched  in  June  2015),  and  promoting  the  link  between  EU  research-
intensive  clusters  and  technology  platforms  with  similar  structures  in  EaP  countries,  in 
order to enhance the participation of EaP countries' private companies in these structures. 

Smart  specialisation  can  serve  as  a  horisontal  topic  for  capacity  building  actions, 
improving prioritisation, stakeholder involvement, governance, and outwards dimension 
of R&I strategies. A Smart Specialisation Strategies Design & Learning Workshop was 
organised in Chisinau, Moldova, in February 2016, and similar awareness raising events 
will take place in Kiev, Ukraine and Belgrade, Serbia. These events will be followed up 
with tailor-made capacity-building trainings. 

6 http://www.inco-eap.net 
7 https://ener2i.eu/related_projects/r2i_cluster_east 

6 

 
 
                                                 
As far as broader framework conditions for cooperation are concerned, these are mostly 
relevant  to  bilateral  relations  with  EaP  countries  rather  than  at  a  regional  level.  Issues 
such  as  the  protection  of  intellectual  property  rights,  competition  rules  or  the 
liberalisation  of  public  procurement  are  indeed  addressed  in  bilateral  association  or 
cooperation agreements that the EU has established individually. 

7 

 
 
1.3. 

Southern Neighbourhood Countries 

1.3.1.  The Southern Neighbourhood Countries8 as partners of the EU 

The  EU  response  to  the  changes  in  the  Arab  world  was  articulated  in  2011  when  the  EU 
offered its Mediterranean partners Ά Partnership for democracy and shared prosperity' in the 
context of the European Neighbourhood Policy. The partnership focuses on three elements: 
democratic transformation, a partnership with people and civil society, and sustainable and 
inclusive  growth.  With  regard  especially  to  the  last  of  the  above  elements,  the  EU  has 
launched  a  number  of  initiatives  with  its  Southern  neighbours  in  the  sphere  of  research, 
technological development and innovation.  

Research and innovation play a crucial role in ensuring sustainable and inclusive growth 
and  science  diplomacy  is  a  key  tool  within  the  region  to  address  pressing  societal 
challenges  that  are  common  across  the  Mediterranean.  As  a  result,  the  EU's  regional 
policy  in research  and innovation  cooperation  focusses  on  identifying joint  cooperation 
priorities in order to align, integrate and step up efforts in science as a means to address 
large-scale and long term challenges. 

Important  developments  have  recently  been  recorded  in  the  region,  such  as  the 
association  of  Tunisia  to  the  Horizon  2020  programme.  Tunisian  research  institutes, 
universities and individual researchers will now have access to all opportunities offered 
by  Horizon  2020.  Tunisian  SMEs  and  businesses  will  also  be  able  to  benefit  from 
increased support to develop new ideas and bring products and services to the market. 

These  achievements  also  result  from  effective  synergies  between  EU  Research  and 
Neighbourhood  policies  and  instruments  in  addressing  the  region's  needs  in  terms  of 
strengthening  local  scientific  and  technological  capacities  and  contributing  to  the 
emergence of an innovation-friendly environment. These links are crucial to enable  the 
region to be in a position to fully benefit from its cooperation in research and innovation 
with the EU; they should be pursued and enhanced further in the future. 

1.3.2.  Priorities for S&T cooperation 

A  comprehensive  approach  is  envisaged  in  the  area  of  migration  that  could  encompass 
broadly  related  drivers  for  long-term  migratory  trends  including  climate  change  and 
sustainable development, but also other areas such as relief and aid-related actions, crisis 
and disaster management and societal reintegration of displaced populations. 

In  this  context,  the  link  between  water  provision  and  food  security  is  a  challenge  of 
primary  concern  to  EU-Southern  Neighbourhood  cooperation,  exacerbated  by  climate 
change. As a result, water resources and food systems are the cornerstone of the PRIMA9 
proposal.  With  this  initiative  from  the  Participating  States,  the  EU  and  the  Southern 

8 Algeria, Egypt, Israel, Jordan, Lebanon, Libya, Morocco, Palestinian Authority, Syria, Tunisia. 
9 The "Partnership for Research and Innovation in the Mediterranean Area" (PRIMA) is a proposal for the 
participation  of  the  Union  in  a  joint  research  and  innovation  programme,  through  Article  185  TFEU, 
submitted by nine EU Member States on 22 December 2014, following adoption of Conclusions by the 
Council  on  5  December  2014.  The  proposal  focuses  on  the  development  and  application  of  innovative 
solutions for food systems and water resources in the Mediterranean basin. 

8 

 
 
 
                                                 
 
 
Mediterranean  are  expected  to  take  steps  to  align  and  integrate  joint  research  and 
innovation priorities by seeking more structured cooperation. The Commission proposal 
for the participation of the Union in the proposal for a joint programme under Article 185 
TFEU to be supported by Horizon 2020, with a view to establishing EU-Mediterranean 
cooperation at a sufficient scale is in its final stage. In parallel, the process is advancing 
for  the  conclusion  of  international  agreements  with  third  countries  not  associated  to 
Horizon  2020  to  allow  for  their  participation  in  PRIMA.  Meanwhile,  a  dedicated 
coordinated  and  support  action  is  foreseen  in  2016  in  support  of  the  work  towards  a 
jointly  designed  Strategic  Research  Agenda  with  appropriate  governance  and 
implementation structures. 

Marine  environment  and  resources  efforts  will  be  directed  to  research  and  innovation 
actions  addressing 
the  Mediterranean  basin. 
Coordination  and  support  actions  in  backing  the  BLUEMED  initiative  as  well  as 
demonstration  projects  aimed  at  developing  and  scaling  innovative  processes  and 
measures for coast and sea clean-up will be deployed. 

the  observation  and  mapping  of 

In  the  area  of  violent  radicalism  and  religious  fundamentalism,  Horizon  2020  will 
support research and innovation actions that seek to enhance the knowledge base about 
scope,  origins  and  root  causes  of  radicalisation.  The  influence  of  sustained  inequalities 
and discrimination will also be addressed with a view to supporting policy development 
in these areas and favouring de-radicalisation.  

In  the  area  of  security  research,  the  Commission  is  promoting  reinforced  cooperation 
with the Mediterranean region in the context of the Horizon 2020 Secure Societies Work 
Programme (WP) 2016-2017. With the aim to enable a joint network concept for border 
protection  and  other  security  and  disaster-related  tasks,  entities  shall share  information, 
collaborate better, and establish joint border surveillance scenarios.  

The  EU  will  support  staff  exchanges  amongst  SESAME,  the  Synchrotron-light  for 
Experimental  Science  and  Applications  in  the  Middle  East.  It  will  also  upkeep  the 
European  Light  Source  Infrastructures  through  a  dedicated  coordination  and  support 
action that will be launched at the end of 2016. 

Transport cooperation currently focusses on the area of port and hinterland connectivity 
amongst other infrastructure-related themes. Planned research and innovation actions will 
address  the  design,  engineering,  construction  and  operational  technologies  solutions  in 
the design of ports and wider ports. Support actions focusing on the identification of key 
performance 
to  port 
infrastructures will also be launched. 

indicators,  monitoring  and  evaluation  mechanisms 

linked 

As an input to the EU's commitment in implementing the Paris Agreement as a follow-up 
to  COP21,  the  EU  and  the  Southern  Mediterranean  have  also  agreed  to  pursue 
cooperation in the area of renewable energies, possibly in solar energy as well as in wind 
power  and  Mediterranean-specific  biomass  as  a  means  to  meet  significant  forecast 
increases in energy demands in the region while transitioning to low-carbon energy and 
improving energy security and efficiency. 

In the area of health, potential areas for cooperation include rare and infectious diseases, 
and non-communicable diseases such as diabetes, cancer and obesity. A number of multi-
lateral  initiatives  including  the  Global  Research  Collaboration  for  Infectious  Disease 
Preparedness  (GloPID-R)  and  the  Global  Alliance  for  Chronic  Diseases  (GACD)  may 
provide  the  right  setting  for  cooperation  with  Southern  Mediterranean  countries.  Egypt 
has  expressed  interest  in  GACD  and  other  countries  from  the  Southern  Mediterranean 
may follow. 

9 

 
 
In the area of seismology, the need to improve knowledge on data, methods, and seismic 
hazard assessments,  in  order to better quantify the uncertainties in the region, has been 
identified. 

1.3.3.  Framework conditions 

Framework  conditions  are  mostly  relevant  to  bilateral  aspects  of  cooperation  with 
Southern  Mediterranean  countries  rather  than  at  regional  level.  Issues  such  as  the 
protection of intellectual property rights, competition rules or the liberalisation of public 
procurement are addressed in bilateral association agreements that the EU has established 
with Southern Mediterranean countries.  

While  mutual  access  to  research  and  innovation  programmes  may  still  need  some 
improvement,  progress  has  been  made  in  opening  national  research  programmes  in 
Southern  Mediterranean  countries  to  European  researchers.  For  example  in  Morocco,  a 
2013  call  for  scientific  projects  funded  by  the  National  Support  Fund  for  Scientific 
Research  and  Technological  Development  was  open  to  non-Moroccan  researchers  and 
attracted applications involving 153 foreign institutions from a total of 396 proposals.  

10 

 
 
 
2. 

INDUSTRIALISED COUNTRIES AND EMERGING ECONOMIES

10 

2.1.  Australia 

2.1.1.  Australia as a partner of the EU 

The  EU  and  Australia  established  diplomatic  links  in  1952  and  have  upgraded  their 
relationship along the years through successive agreements in key areas of political, trade 
and security cooperation, including development aid, education, research and innovation. 

The  Framework  Agreement  to  be  signed  by  the  two  parties  in  2016  clearly  identifies 
science and innovation as key areas for developing relations. 

The EU is presently the largest source of foreign direct investment in Australia and also 
the  second  largest  destination  of  Australia's  direct  investment  abroad.  Furthermore,  the 
EU and Australia have  commenced work towards the launch of negotiations  for a Free 
Trade Agreement in order to remove existing market access barriers for goods, services, 
investment and public procurement. 

2.1.2.  Priorities for S&T cooperation 

The  Joint  Science  and  Technology  Consultation  Committee  (JSTCC)  meeting  of 
December 2014 stressed the need to deepen and scale up cooperation in selected thematic 
areas. 

In  bioeconomy,  the  parties  agreed  to  consider  the  expansion  of  the  International 
Knowledge-Based Bio-Economy Forum into the International Bio-Economy Forum. 

In research infrastructures, strategic areas of collaboration where regular workshops and 
exchanges have already been taking place, are identified in bio-molecular technologies, 
bio-diversity, marine data, material science, physics (synchrotrons and neutron sources), 
research data management and e-infrastructures (networking, grids, computing). In radio-
astronomy,  Australia  will  host  one  of  the  two  pillars  of  the  Square  Kilometer  Array 
currently supported through Horizon 2020 as one of the (international) flagship initiatives 
in  the  European  Roadmap  for  Research  Infrastructures  developed  by  the  European 
Strategy Forum for Research Infrastructures (ESFRI). The publication of the 2016 ESFRI 
roadmap provides a number of additional opportunities for collaboration which should be 
explored. 

Australia  and  the  EU  cooperate  in  multilateral  initiatives  aimed  at  addressing  health 
challenges,  including  the  International  Rare  Diseases  Research  Consortium  (IRDiRC), 
the  Global  Alliance  for  Chronic  Diseases  (GACD)  and 
the  Global  Research 
Collaboration  for  Infectious  Diseases  Preparedness  (GloPID-R).  Furthermore,  both 
Australia and the EU are members of the Human Frontier Science Programme (HFSP). 
Also,  Australia  participates  as  a  third  country  member  of  the  Joint  Programming 
Initiative  on  Neurodegenerative  Disease  Research  and  continues 
its  Associate 
Membership in the European Molecular Biology Laboratory. 

Beyond the priorities identified in the JSTCC, there is increasing demand in the area of 
resource  efficiency  and  raw  materials  and  a  pressing  global  need  for  strategic 
international dialogue and cooperation both with producers and technologically advanced 
countries.  Australia  is  an  important  partner  in  the  International  Raw  Materials 
Observatory which aims to promote cooperation with technologically advanced countries 
and facilitate global discussion. 

10 Presented in alphabetical order. 

11 

 
 
 
 
                                                 
Sustainable cities are the focus of on-going EU initiatives and Australia's new ‘Agenda 
for  cities’.  Cooperation  could  be  enhanced  through  the  Belmont  Forum  or  the  Future 
Earth programme. Possible future cooperation in Nature-Based Solutions for disaster risk 
reduction could also be investigated. 

Further  to  the  Intergovernmental  Panel  on  Climate  Change  (IPCC)  findings  on  the 
pressing need for a 'whole of ocean' strategy, research on ocean strategy and governance 
could be developed to enhance ocean economy, climate science and climate action in the 
framework  of  the  EU  blue  growth  strategy11  and  Australia's  "Vision  in  Blue"  ten-year 
plan  for  science12.  A  new  Horizon  2020  project  called  'MESOPP'  (2016-2019) 
developing  e-research  infrastructures  linked  to  ocean  research  has  been  launched  by  a 
consortium of eight European and Australian partners. 

In  November  2015,  the  Commission  and  the  Australian  government  signed  a 
Memorandum  of  Understanding  to  cooperate  on  Earth  Observations  through  the 
Copernicus programme's full, free and open data policy. The availability of this satellite 
data  will  stimulate  the  development  of  digital  products  and  services,  create  business 
opportunities,  encourage cutting-edge research and improve public  policy making. This 
agreement  complements  a  June  2015  Memorandum  of  Understanding  on  cooperation 
between  the  European  Space  Agency  (ESA)  and  the  Commonwealth  Scientific  and 
Industrial Research Organisation (CSIRO) to give Australia better access to information 
from  Europe’s  Earth-observing  satellites,  while  ESA  will  benefit  from  Australia’s 
scientific expertise. 

The  Commission  will  continue  to  explore  further  avenues  of  cooperation  and  priority-
setting taking into account the new Australian National Innovation and Science Agenda13 
and Australia's plans to invest $A2.3 (€1.6) billion over the next 10 years in cutting-edge 
national 
the  National  Collaborative  Research 
Infrastructure Strategy14, the Australian Synchrotron and Australia’s commitment to the 
Square Kilometre Array. 

infrastructure 

research 

through 

Australia's  Global  Innovation  Strategy  is  expected  to  offer  opportunities  for  European 
industry-academia and SME collaboration in innovation-driven sectors. 

The  initiative  “Innovation  in  agriculture  and  regional  areas”  in  the  framework  of  the 
Australian National Innovation and Science Agenda will support Regional Development 
Agencies  across  the  country  in  pursuing  economic  development  opportunities  through 
smart specialisation, following the European Commission’s approach. The Hunter region 
has been the first Australian region to launch a smart specialisation strategy (S3) in 2016. 
The S3 Platform of the European Commission’s Joint Research Centre has been involved 
in a number of interactions with Australian authorities and academic institutions in order 
to explain and promote the smart specialisation approach and will continue to engage in 
such activities. The institutions involved are in particular the Regional Economic Policy 
Branch of the Department of Infrastructure and Regional Development of the Australian 
Government and the EU Centre at the RMIT University of Melbourne. 

11 http://ec.europa.eu/maritimeaffairs/policy/blue_growth/index_en.htm 
12 http://www.aims.gov.au/docs/media/latest-news/-/asset_publisher/EnA5gMcJvXjd/content/11-august-a-

vision-in-blue-ten-year-plan-for-science-helping-drive-australia-s-growing-blue-economy 

13 http://www.innovation.gov.au/ 
14  In  2016,  Australia’s  Chief  Scientist  will  chair  an  expert  group  to  undertake  a  collaboration  and  road-

mapping process to identify specific future research infrastructure capability requirements. 

12 

 
                                                 
2.1.3.  Framework Conditions 

Framework  conditions  for  cooperation  between  Australia  and  the  EU  are  very  good  as 
Australia  enjoys  a  strong  legal  framework  in  STI,  including  intellectual  property  rights 
protection and open access to data. 

Within  the  field  of  health  research,  Australia  is  providing  support  to  Australian 
researchers  participating  in  Societal  Challenge  1:  'Health,  demographic  change  & 
wellbeing' of Horizon 2020. The National Health and Medical Research Council has put 
in  place  a  procedure  that  identifies  priority  Horizon  2020  WP  topics  and  commits  to 
provide  funding  to  Australian  participants  within  their  available  budget.  A  similar 
procedure  would  be  desirable  with  the  Australian  Research  Council.  The  Australian 
Research  Council  and  the  European  Research  Council  are  also  exploring  possible 
bilateral agreements in terms of researcher mobility. 

13 

 
 
2.2.  Brazil 

2.2.1.  Brazil as a partner of the EU 

The EU and  Brazil  have had a  Strategic Partnership since 2007 and a  bilateral  Science 
and  Technology  Agreement  which  was  signed  in  2004,  entered  into  force  in  2007  and 
renewed  in  2012  for  5  more  years.  A  Cooperation  Arrangement  under  the  existing 
bilateral  Agreement  was  signed  on  24  January  2013  in  Brasília  between  the  Joint 
Research  Centre  (JRC)  and  the  Brazilian  Ministry  of  Science,  Technology  and 
Innovation  (MCTI).  In  the  area  of  Fusion  Energy  Research,  a  bilateral  Cooperation 
Agreement under the Euratom Treaty, was signed in 2009 and entered into force in 2013. 
Brazil  is  one  of  the  first  non-ITER  parties  with  which  Euratom  has  signed  a  bilateral 
fusion cooperation agreement. 

The  importance  of  cooperation  on  research  and  innovation  in  addressing  the  shared 
economic, environmental and societal challenges within the context of overall EU-Brazil 
relations was reiterated at the EU-Brazil Summit of February 2014. 

Brazil has made significant advances in its Science, Technology and Innovation policy, 
which  has  contributed  to  the  institutional  strengthening  of  the  STI  System.  This  has 
included an improvement in number and qualification of human resources as well as in 
R&D infrastructure. Brazil remains at the frontier of research in the field of agriculture as 
well as in tropical and infectious diseases. It is also a world-class player in the fields of 
ICT,  nanotechnologies  and  energy  and  it  hosts  some  of  the  top  universities  of  Latin 
America. Its potential as a research and innovation partner therefore continues to grow. 

2.2.2.  Priorities for S&T cooperation 

The Joint Steering Committee (JSC) which oversees the implementation of the EU-Brazil 
S&T  Agreement  has  emphasised  the  need  to  deepen,  scale  up  and  open  cooperation  in 
selected thematic areas. This has led to a number of initiatives: 

Marine research is one of the main developing areas of joint interest. In November 2015, 
European Commissioner Carlos Moedas signed a Declaration of Intent with the Brazilian 
Minister  of  Science,  Research  and  Innovation  to  enhance  marine  research  cooperation. 
The  topics  identified  include  ocean  observation  and  forecasting  systems,  food  security 
(including aquaculture), ocean technology, ocean literacy, land-sea interactions and polar 
research.  In  parallel,  Brazil  and  South  Africa  signed  a  joint  document  on  South-South 
Atlantic research cooperation aiming at developing a South Atlantic Science Plan. This 
initiative  will  match  the  Science  Plan  that  has  been  developed  for  the  North  Atlantic 
together with the US and Canada. This contributes to increase cooperation with the South 
Atlantic countries towards an All Atlantic Ocean Research Alliance. 

In the area of bioeconomy and agriculture, the EU is considering keeping a multilateral 
approach involving the key states all over the world. Brazil has been invited to become a 
member  of  the  International  Bioeconomy  Forum  which  would  create  a  multilateral 
platform for discussion and action on the bioeconomy and which will be established in 
the  second  half  of  2016.  In  the  area  of  biotechnology,  a  Biotechnology  Observatory  in 
Brazil  has  been  funded  by  the  Sector  Dialogue  Facility  supported  by  the  Commission 
mirroring the EU Bioeconomy Observatory managed by the EU's Joint Research Centre. 
This is a good example of leveraging other funding mechanisms to support infrastructure 
that  enables  or  facilitates  S&T  cooperation.  Furthermore,  there  is  ongoing  cooperation 
through  the  Sector  dialogues  facility  in  the  field  of  Alternative  Methods  to  animal  use 
and Agroecology Platforms. 

14 

 
 
 
In  the  field  of  energy,  advanced  biofuels  is  the  topic  of  a  coordinated  call  in  the  WP 
2016-17 of Horizon 2020 which aims at exploiting synergies between Brazil and Europe 
in terms of scientific expertise and resources in this area. Joint work can build upon the 
Brazilian sugarcane ethanol model  and should benefit from the Brazilian and European 
experience  in  biofuels.  In  the  coming  years,  Brazil  will  be  an  important  partner  in  the 
context of Mission Innovation15.  

Progress is also being achieved in the cooperation on the domain of nanosafety through 
Brazilian participation in the EU project NanoReg (A common European approach to the 
regulatory  testing  of  Manufactured  Nanomaterials).  In  the  future,  it  is  intended  to 
broaden this cooperation to other nanotechnology areas. 

In  the  area  of  health,  a  dedicated  Horizon  2020  call  on  ZIKA  was  launched  in  March 
2016  to  set  up  a  research  network  across  the  Latin  America  region  to  facilitate, 
coordinate  and  implement  urgent  research  to  combat  the  ZIKA  outbreak,  and  lay  the 
foundation  for  a  preparedness  research  network  against  any  future  emerging  severe 
infectious threats. Given the seriousness of the outbreak in Brazil and the risks associated 
to  its  spreading  in  the  region  and  globally,  on  an  exceptional  basis,  Brazilian  scientists 
participating to the selected project(s) will be funded by the EU.  

Brazil is active in high-speed aerospace and aviation technologies and an active partner 
in EU projects including as a supplier of rocket stages16 and participation in projects on 
alternative fuels for aviation.  

In the area of environment, Brazil became a member of the Belmont Forum in 2012 and 
cooperation  is  being  explored  in  the  area  of  sustainable  urbanization,  with  focus  on 
'sustainable  and  re-naturing  cities'  and  on  the  building  of  a  platform  of  technologies 
inspired  by  nature.  The  Research  Foundation  of  the  State  of  São  Paulo  (FAPESP)  is  a 
member of Belmont Forum and will take over the co-presidency as of January 2016. 

ICT  is  another  prominent  cooperation  area  with  Brazil.  The  three  coordinated  calls 
funded  jointly  by  Brazil  and  the  EU  implemented  so  far,  will  be  followed  by  a  fourth 
joint call under the LEIT-ICT part of WP 2016-17 of Horizon 2020, addressing the areas 
of  5G,  Cloud  Computing  and  IoT  Pilots.  Further  cooperation  priorities  go  beyond  the 
current research areas - Next Generation Internet, building on FIWARE collaboration. In 
addition to this, regular EU-Brazil ICT Dialogues were established on an annual basis to 
discuss ICT policies, especially in domains related to the research and innovation topics 
addressed in the coordinated/joint calls. 

In  the  field  of  research infrastructures,  cooperation  with  Brazil  is  explicitly  foreseen  in 
the  area  of  biodiversity  and  carbon  cycle  in  particular  in  connection  with  the 
LIFEWATCH ESFRI project (on the ESFRI roadmap since 2006). A relevant initiative 
which could positively impact is the Trans-Atlantic submarine cable for connectivity to 
Latin  America,  aimed  at  ensuring  very  high  capacity,  cost  benefit,  short  route  and 
stimulating diversity over the trans-Atlantic segment. The Commission will also support 
a group of public actors gathered in the consortium BELLA (Building European Link to 
Latin America)17. 

The development of regional innovation systems is considered by the Brazilian National 
Plan  for  Regional  Development  -  PNDR  (2011)  as  a  priority  for  social-economic 

15 http://mission-innovation.net/ 
16 http://www.esa.int/Our_Activities/Space_Engineering_Technology/High-

Speed_Experimental_Fly_Vehicles_-_INTernational 

17 https://ec.europa.eu/digital-single-market/en/news/planned-new-submarine-cable-between-europe-and-

latin-america-joint-venture-agreement-signed 

15 

 
 
                                                 
development.  In  this  context,  the  North-west  region  of  Brazil  (in  particular  the  state  of 
Pernambuco)  is  being  jointly  analysed  by  the  European  Commission  and  the  Brazilian 
MI  -  Ministério  da  Integração  Nacional,  CGEE  –  the  Center  for  Strategic  Studies  and 
Management  Science,  Technology  and  Innovation,  and  SECTI/PE  –  the  Secretaria  de 
Estado de Ciência Tecnologia e Inovação do Estado de Pernambuco.18 This cooperation 
experience  offers  unique  conditions  for  piloting  the  adaptation  of  the  European  Smart 
Specialisation Strategy approach to the Brazilian context. 

2.2.3.  Framework Conditions 

Framework conditions for research cooperation with Brazil have been improving over the 
last decade. The government adopted two consecutive National Science, Technology and 
Innovation  Strategies,  whose  key  elements  included  an  improved  innovation  regulatory 
framework, a larger and more accessible funding structure and international cooperation. 
The setup of a co-funding scheme by the Research Foundation of the State of São Paulo 
(FAPESP) and by the Brazilian National Council of Research Foundations (Confap) will 
provide  Brazilian  researchers  with  funding  sources  to  support  their  participation  in 
Horizon 2020 projects. The nomination of a National Contact Point for Horizon 2020 at 
the University of São Paulo is also an important step to facilitate Brazilian participation 
in Horizon 2020. 

EU-Brazil  cooperation  will  also  be  strengthened  by  supporting  two-way  mobility  of 
researchers  and  academic  staff.  There  are  ongoing  discussions  for  an  Implementing 
Arrangement  between  Brazilian  institutions  and  the  European  Research  Council. 
Additionally, Confap has recently been nominated a National Contact Point for the Marie 
Skłodowska-Curie  Actions  with  the  objective  of  providing  targeted  assistance  to 
Brazilian researchers interested in working for limited periods in the EU. 

18  The  project  builds  on  a  previous  preparatory  action  that  was  supported  by  the  EU-Brazil  sectoral 
dialogues Support Facility (Projeto Apoio aos diálogos setoriais Uniao Europeia – Brasil) and made a 
proposal  of  terms  of  reference  to  support  the  development  of  the  regional  innovation  system  of 
Pernambuco. 

16 

 
 
 
                                                 
2.3.  Canada 

2.3.1.  Canada as a partner of the EU 

Canada is one of the EU's long standing and closest partners, diplomatic relations having 
started  formally  in  1976.  The  recent  political  breakthroughs  on  the  Comprehensive 
Economic and Trade Agreement (CETA) and the Strategic Partnership Agreement (SPA) 
will further enhance this strong relationship. The ambitious SPA, which was initialed in 
September  2014  in  Ottawa,  will  provide  an  overall  upgrade  and  an  umbrella  for  the 
bilateral relations. It will replace the 1976 Framework Agreement with a modern Treaty 
reflecting the major developments within the European Union over the last decades. SPA 
will  reinforce  cooperation  in  such  strategic  areas  as  international  peace  and  security, 
human rights, environment, research, innovation, energy security and education. 

The European Union and Canada also cooperate actively on various Arctic issues. 

Canada is one of the world’s five largest energy producers and has benefitted from the 
revolution  in  unconventional  oil  and  gas  production.  The  new  Canadian  government  is 
putting  more  emphasis  on  environment  and  climate  and  at  the  COP  21,  Canada  was 
particularly  active  in  helping  to  secure  a  robust  and  ambitious  outcome  not  least  by 
supporting the 1.5°C target. 

Canada has a well-established and strong post-secondary education system and benefits 
from  some  world-class  university  research.  As  a  result  health  and  medical  research  as 
well  as  physics  and  psychology  are  extremely  strong  scientific  areas.  Strengths  in 
industrial  research  can  be  found  for  example  in  aeronautics,  ICT  or  oil  and  gas 
extraction.  

The  Agreement  for  Scientific  and  Technological  Cooperation  between  Canada  and  the 
European Union has been in place since 1996. 

2.3.2.  Priorities for S&T cooperation 

is  moving  from  strategic  planning 

to 
EU-Canada  marine  science  cooperation 
implementation of priority activities in the form of large and concrete research projects 
since the  beginning  of Horizon  2020.  The  trilateral  marine  working  group  EU-Canada-
US  is  exploring  opportunities  to  strengthen  industry  engagement  with  the  Galway 
initiative  on  Atlantic  Ocean  Cooperation19.  It  is  also  working  on  increasing  the 
coordination  with  the  Canada-EU  Arctic  Working  Group  and  developing  concrete 
milestones  for  implementation  of  the  Galway  initiative,  including  alignment  of 
programmes and funding.  

The  Horizon  2020  WP  2016-17  included  an  "arctic  package"  of  two  project  calls  for 
2016 and one project call for 2017 under the 'Blue Growth' call, inviting all proposers to 
consider Canadian and US participation. EU funding for this package is in the order of 40 
million €.  

Big-data,  research  data  and  cyber-security  have  been  identified  as  potential  areas  for 
future cooperation under ICT.  

Concerning health research, both the EU and Canada continue to be jointly involved in 
all the multilateral research initiatives that the EU has either started or joined. Some of 
them  are  the  International  Rare  Diseases  Research  Consortium  (IRDiRC),  the  Global 
Alliance for Chronic Diseases (GACD), the International Human Epigenome Consortium 

19 https://ec.europa.eu/research/iscp/pdf/galway_statement_atlantic_ocean_cooperation.pdf 

17 

 
 
 
                                                 
(IHEC)  or  the  International  Initiative  for  Traumatic  Brain  Injury  Research  (InTBIR). 
Moreover,  both  Canada  and  the  EU  are  members  of  the  Human  Frontier  Science 
Programme  (HFSP).  Last  but  not  least,  Canada  continues  to  invest  in  several  Joint 
Programming initiatives such as the Joint Programming on Neurodegenerative Diseases20 
and  the  Joint  Programming  Initiative  on  Anti-Microbial  Resistance21.  Furthermore, 
funding agencies from Canada participate in the E-Rare-3 ERA-NET which coordinates 
research programmes on rare diseases22. 

A  specific  energy  research  call  in  the  2017  WP  of  H2020  will  provide  European  and 
North  American  (both  Canada  and  US)  researchers,  industry  and  policymakers  with  a 
platform to enhance and deepen transatlantic dialogue on environmental issues related to 
Carbon  Capture  and  Storage  and  unconventional  hydrocarbons  development.  It  is 
expected  to  accelerate  learning  and  provide  advanced  training.  Connecting  pilots  and 
projects across the Atlantic should bring the benefits of cross-validation of technologies, 
sharing  results,  distributing  tasks,  bundling  expertise  and  expanding  professional 
networks.  

The possibility of launching a  second coordinated  Horizon  2020 call in the aeronautics 
area (to follow up the successful one in 2014/15) is being investigated. 

Collaboration between Europe and Canada in the domain of Research Infrastructures is 
highly  important.  Increased  cooperation  on  marine  and  Arctic  Research  Infrastructures 
(interoperability,  data  management,  better  use  and  access,  funding  strategy,  innovation 
and links with industry) is planned. 

In this context, the EC may facilitate links between the Canadian High Arctic Research 
Station  and  the  Svalbard  Integrated  Arctic  Earth  Observing  System23,  a  project  on  the 
European Roadmap for Research Infrastructure development (the ESFRI roadmap). 

2.3.3.  Framework Conditions 

The  Canadian  government  has  indicated  that  Canadian  governmental  services  will 
explore ways to expand the cooperation fields beyond the areas mentioned above. High 
on  the  cooperation  agenda  are  topics  like  environment  and  climate  change  related 
research as well as energy research. 

European  and  Canadian  programme  owners  and  managers  are  preparing  for  more 
programme level cooperation and exploring how Canadians and Europeans may partner 
under  existing  frameworks/joint  programmes  to  better  align  the  respective  funding 
streams.  This  programme  level  cooperation  exchange  involves  the  major  Canadian 
Granting Councils at federal level as well as the relevant provincial authorities. 

While there is no federal matching fund in Canada concerning Horizon 2020, there seems 
to be a growing interest in the provinces to use provincial funding programmes to support 
Canadian  participants  in  Horizon  2020  projects.  For  example  researchers  from  Quebec 
can  apply  for  funding  through  a  programme  for  international  cooperation:  "Programme 
de soutien à la recherche (PSR)- Soutien à des initiatives internationales de recherche et 
d'innovation (SIIRI)". 

Canada has established a strong network of National Contact Points for Horizon 2020 in 
the  main  areas  for  cooperation  so  the  basic  information  and  conditions  for  cooperation 
are well known and disseminated.  

20 www.neurodegenerationresearch.eu 
21 www.jpiamr.eu 
22 http://www.erare.eu/ 
23 http://www.sios-svalbard.org/ 

18 

 
 
                                                 
Canadian Granting Councils and in particular the Canadian Institute for Health Research 
(CIHR) are well integrated in the European research landscape. Under the Horizon 2020 
Societal  Challenge  1  WP  2016-2017,  CIHR  decided  to  support  the  participation  of 
Canadian research groups in one or more EU-funded projects selected under topic SC1-
PM-01-2016 “Multi omics for personalised therapies addressing disease of the immune 
system” by launching a parallel funding opportunity. 

19 

 
 
2.4.  China 

2.4.1.  China as a partner of the EU 

China is a long standing key partner country on research and innovation cooperation for 
the  European  Union.  The  relationship  is  governed  by  the  Science  &  Technology 
Cooperation Agreement signed in December 1998 and last renewed in December 2014. 
In addition an Agreement between the European Atomic Energy Community (Euratom) 
and  the  Government  of  the  People's  Republic  of  China  for  R&D  Cooperation  in  the 
Peaceful Uses of Nuclear Energy (RD-PUNE) is in place since 2008. A new High Level 
Innovation  Cooperation  Dialogue  (ICD)  was  inaugurated  in  2013  raising  the  level  and 
intensity of research and innovation relations with China.  

China  is  the  world's  third  largest  economy  after  the  EU  and  the  US  and  the  second 
biggest  trader  after  the  EU.  China  is  moving  fast  towards  a  knowledge-based  and 
innovation-driven economy. China invests over 2% of GDP in research and development, 
is  the  world’s  third  largest  publisher  of  research,  and  vigorously  promotes  innovation 
policies.  The  EU,  as  a  world  leader  in  this  area,  has  a  strong  interest  in  working  with 
China  to  promote  scientific  excellence,  address  global  societal  challenges  and  promote 
business  and  investment  opportunities  in  China  for  European  undertakings.  Since  2015 
China is reforming the National S&T Programme Management to streamline numerous 
state-funded scientific and technological funds and further increase effectiveness of R&D 
spending. 

2.4.2.  Priorities for S&T cooperation 

While  STI  cooperation  with  China  is  bound  to  be  continued  and  increased  across  the 
board, the following areas have been identified as priority deserving dedicated actions. 

The  EU  and  China  are  two  of  the  biggest  trading  partners  and  food  producers  in  the 
world,  and  face  many  similar  nutrition  and  food  security  challenges.  The  overall 
challenge is to ensure sustainability of the agri-food systems catering for the needs of the 
growing  population  (especially  in  cities),  the  reduction  of  food  and  agricultural  losses 
and  waste,  and  the  provision  of  safe  and  healthy  foodstuffs.  The  flagship  initiative  on 
Food, Agriculture and Biotechnology (FAB) launched in 2013 is bound to be continued 
and reinforced  with a view to identify sustainable solutions for those challenges with a 
farm-to-fork approach. On the bioeconomy area, China has been also invited to become a 
member of the International Bioeconomy Forum.  

Sustainable urbanisation is a major socio-economic challenge for both China and Europe 
and has been recognised by both sides, as well as by Member States, as a priority area for 
research  and  innovation  cooperation.  Future  cooperation  will  be  pursued  by  promoting 
support for large scale demonstration projects on the deployment of nature and cultural 
heritage  based  solutions  is  likely  to  continue  with  a  view  to  address  the  numerous 
challenges  that  cities  are  facing  such  as  air  and  noise  pollution,  human  health,  natural 
disasters,  biodiversity  loss,  degradation  of  natural  capital  and  the  ever  increasing 
urbanisation trends. 

The rapidly evolving high-tech aviation sector is of mutual interest for Europe and China. 
Building  on  the  experience  of  past  successful  coordinated  calls  for  proposals  with  the 
Ministry  of  Industry  and  Information  Technology  (MIIT),  policy  dialogue  and 
cooperation with MIIT is bound to continue. Future cooperation on aviation research will 
involve the close monitoring of the on-going projects and the identification of priorities 

20 

 
 
 
for future joint actions through stakeholders' consultation taking into account the findings 
of the GRAIN2 joint project on green technology in aviation. 

China is a strategic partner for the EU in energy research and innovation for a number of 
reasons  including  the  size  of  the  Chinese  market,  the  effort  made  by  China  to  increase 
RD&D  (Research,  Development  and  Demonstration)  spending  and 
the  recent 
commitment taken regarding the transition to low carbon economy. China is one of the 
principal  interlocutors  on  peaceful  use  of  nuclear  energy  research  for  Euratom 
Agreement. Future cooperation on fission energy research will be strengthened with the 
completion  of  the  ALISA  project,  increased  Chinese  participation  in  Euratom  and 
exchanging programmatic S&T expertise. On fusion energy research the two sides will 
pursue  the  agreed  priorities  under  the  bilateral  Fusion  WP  2013-2020.  With  regard  to 
non-nuclear energy, building on the statement DG RTD signed with MOST in 2010 and 
on  the  successful  cooperation  on  NZEC  dialogue,  cooperation  will  be  stepped  up  with 
particular regard to renewable energy and energy efficiency. 

Considering the aim of the Paris  Conference of the Parties (COP21) for more stringent 
commitments  to  reduce  global  greenhouse  gas  emissions,  both  the  EU  and  China 
committed at the Summit and Innovation Cooperation Dialogue of June 2015 to enhance 
their  collaboration  on  climate-related  scientific  research  and  technology  innovation, 
including  the  development  and  deployment  of  low-carbon  technologies  and  adaptation 
solutions that can contribute to international efforts to combat global warming.  

In  the  field  of  environment,  water  is  a  priority  for  cooperation  with  China.  The 
Commission has been supporting the China-Europe Water Platform24 and will continue 
to promote policy dialogue, joint research and business development in the water sector.  

Biomaterials  and  their  eventual  applications  into  industrial  technologies  for  healthcare 
are a priority area for the EU and for China. China excels in materials science. Building 
on  the  positive  experience  of  the  last  coordinated  call  with  the  Natural  Science 
Foundation of China (NSFC), cooperation on biomaterials and biotechnology is bound to 
be continued and reinforced. 

Closer  cooperation  on  ICT  R&I  with  China  will  hinge  on  further  progress  towards 
openness  of  the  Chinese  research  programmes  in  line  with  the  Joint  Declaration  on 
Strategic  Cooperation  on  5G  networks  signed  in  September  2015.  The  key  points  are 
non-discriminatory  access  to  China's  RDI  programmes  for  foreign-owned  companies, 
transparent  information  and  procedures,  including  the  scope,  the  requirements,  the 
selection  of  the  projects,  as  well  as  clear  intellectual  property  rights  rules  which  are  in 
line  with  global  best  practices.  Cooperation  could  be  enhanced  through  twinning  EU-
funded  5G-PPP  projects  and  related  China-funded  5G  (mega)  projects  as  well  as 
twinning  activities  between  IoT  Large  Scale  Pilots  and  Megaprojects,  with  particular 
regard to Internet of Things architectures, test beds and platforms, semantic and technical 
interoperability,  thus  making  full  use  of  the  knowledgebase  and  advantages  of  both 
regions. Joint development of international standards for the IoT business layer is also to 
be pursued. 

Under the EU-ESA-China Dialogue on Space Technology Cooperation the EU and China 
are committed to further reinforcing research and innovation cooperation with particular 
regard to Satellite Navigation and Earth Observation. China is one of the four co-chairs 
of  the  Group  on  Earth  Observation  (GEO)  implementing  a  Global  Earth  Observation 
System of  Systems (GEOSS) and advocating  full and open access to Earth observation 
data  worldwide.  The  GEO  Ministerial  Summit  of  November  2015  extended  GEO  for 

24 http://cewp.org/ 

21 

 
                                                 
another  10  years  for  the  period  2016-25  and  adopted  a  new  GEOSS  strategic  plan. 
Further collaboration with China could take place on the use of earth observation for the 
monitoring  of  urban  environment  and  megacities  and  of  the  polar  region,  including 
enhanced research cooperation on big data. 

Cooperation in health research is intended to be pursued in the framework of multilateral 
initiatives, in particular on the prevention and treatment of infectious diseases and in the 
area of traumatic brain injuries. 

Dialogue  on  research  infrastructures  will  be  developed  in  order  to  identify  future 
cooperation activities in particular in areas such as environmental and earth sciences, life 
sciences including food, agriculture and biotechnologies and virology, and material and 
analytical facilities with a view to define future joint actions. 

EU-China  relations  should  also  be  strengthened  by  supporting  two-way  mobility  of 
researchers and academic staff. The recent agreement between the ERC and the Natural 
Science Foundation of China represent a valuable tool for promoting enhanced and more 
balanced mobility of researchers.  

The Joint Research Centre will continue to support the implementation and development 
of various priority areas of research and innovation cooperation with China. Cooperation 
will be reinforced in areas where scientific knowledge needs to inform policies, such as 
global  change,  air  quality,  human  settlement  analysis,  land  and  soil  degradation,  land 
cover mapping, agricultural monitoring and digital earth science. This will contribute to 
developing joint solutions to global challenges such as disaster risk reduction, sustainable 
development and urbanisation, and climate action. 

While EU-China cooperation on collaborative research based on the S&T agreement in 
place  since  1998  is  long  standing  and  spans  a  number  of  thematic  areas,  dialogue  on 
innovation  cooperation  is very young. The high level Innovation Cooperation Dialogue 
inaugurated at the Summit in November 2013 achieved already concrete and important 
results but there is still a lot of untapped potential for future cooperation. Several areas 
are  being  considered  for  future  development  such  as  cooperation  on  Innovation  and 
SMEs,  Open  Innovation,  Innovation  Platforms,  Clusters  and  promotion  of  STI 
investment. 

2.4.3.  Framework Conditions 

Having the right framework conditions in place is essential for strong and balanced EU-
China S&T Cooperation and for making EU and China attractive global R&D players. A 
new  co-funding  mechanism  (CFM)  was  agreed  at  the  2015  Summit  and  ICD  and  the 
Chinese Ministry of Science and Technology published the first CFM call for proposals 
in  December  201525.  Under  the  CFM,  MOST  allocates  200  million  RMB,  or  about  28 
million  euros,  annually  to  provide  competitive  funding  to  China-based  entities 
participating in joint projects with European partners under Horizon 2020.  

Protection and enforcement of intellectual property rights are crucial for the promotion of 
innovation.  Dialogue  and  cooperation  with  China  on  these  areas  should  be  intensified. 
EU-China  cooperation  could  also  benefit  from  increased  flexibility  in  visa  policy,  to 
facilitate international mobility for scientist exchanges at all levels, including experts as 
well as young talents.  

Reciprocal  access  to  respective  STI  funding  programmes  is  being  addressed  in  the  on-
going reform of the Chinese STI funding system. The agreement on reciprocal access to 

25 See MOST call Chinese version - MOST call English translation. 

22 

 
 
                                                 
respective  STI  funding programmes  reached  at the  EU-China  Joint  Committee  meeting 
opens  the  door  to  more  cooperation  opportunities  although it  requires  close  monitoring 
and fine tuning.  

Standardisation is another key issue. It is in the interests of both China and the EU that 
all  stakeholders  participate 
the 
competitiveness  of  Chinese-developed  technology  in  the  international  market.  Opening 
this process to all, including foreign companies, could be an excellent booster.  

the  standard  definition  process 

to  enhance 

in 

23 

 
 
2.5. 

India 

2.5.1. 

India as a partner of the EU 

The EU-India Strategic Partnership was created in 2004 to enable the partners to better 
address  international  issues  in  the  context  of  ever-increasing  globalisation.  Political 
cooperation covers a wide range of international concerns such as security, international 
political issues, energy, environment, and climate change. The EU and India have been 
negotiating an ambitious Free Trade Agreement since 2007. 

India has embarked on a process of economic reform and progressive integration with the 
global economy that aims to put it on a path of rapid and sustained growth. 

India's R&I landscape is however contrasted. On the one hand, the country has ramped 
up  scientific  production  at  an  impressive  rate.  India  has  several  world-class  centres  for 
science  education,  particularly  the  Indian  Institutes  of  Technology.  The  country  is  also 
recently  experiencing  a  surge  in  its  share  of  the  world's  high-quality  scientific 
publications26.  On  the  other,  with  only  200,000  full-time  researchers  and  17  patent 
applications per 1 million people, India has few scientists relative to its population size 
and it produces relatively few patents27. 

The  outsourcing  of  knowledge-intensive  activities  to  India  has  contributed  to  make  the 
services sector the largest contributor to GDP (55%) and the presence of multinationals' 
R&D  centres  has  accelerated  India's  integration  in  the  global  research  system.  In  2014 
India had a research intensity of 0.85 % of GDP, contributing to 2.7% of the total global 
R&D spending. Only a third of the Indian investment in R&D is from the private sector. 
More than half of it relates to defence, space and nuclear sectors. 

EU-India  cooperation  in  several  areas  of  R&I  is  increasing  the  ability  of  both  sides  to 
tackle global challenges more effectively. 

2.5.2.  Priorities for S&T cooperation 

At  the  2015  EU-India  Joint  Steering  Committee  meeting  both  sides  agreed  to  continue 
and explore cooperation in the following areas: health, water, energy, smart cities, food 
security, sustainable agriculture and forestry, marine, maritime and inland water research 
and the bioeconomy, nanotechnologies, and advanced materials. These areas are in line 
with  the  political  priorities  provided  by  the  EU-India  Summit  held  in  Brussels  on  30 
March 2016. On that occasion, the EU-India Agenda for Action 2020 was adopted and a 
number of joint declarations made, notably on an India-EU Water Partnership and on a 
Clean Energy and Climate Partnership. 

On the bioeconomy area, India has been invited to become a member of the International 
Bioeconomy Forum which would create a multilateral platform for discussion and action 
on the bioeconomy and which will be established in the second half of 2016. 

The  EU  and  India  cooperate  well  in  the  framework  of  the  Global  Alliance  for  Chronic 
Diseases  (GACD).  Since  the  EU  joined  (India  was  already  a  member),  calls  have been 
launched in areas such as type 2 diabetes and lung diseases. The next planned call is in 
the  area  of  mental  health.  The  EU  encouraged  Indian  participation  in  health  research 
within  multi-lateral  platforms  such  as  the  Global  Research  Collaboration  for  Infectious 
Disease  Preparedness  and  the  International  Initiative  for  Traumatic  Brain  Injury.  An 
important  interlocutor  on  health  research  is  the  Department  of  Biotechnology  (DBT), 

26 http://www.natureindex.com/pdf/news/indian-science-ascending.pdf 
27 http://www.nature.com/news/india-by-the-numbers-1.17519 

24 

 
 
 
                                                 
which  is  willing  to  cooperate  on  anti-microbial  resistance  including  the  Joint 
Programming  Initiative  on  Anti-Microbial  Resistance28.  Reinforced  cooperation  in  the 
area of Global Health is also envisaged as announced at the EU-India Summit of March 
2016. 

On  fusion  cooperation,  both  sides  agreed  at  the  second  Euratom-India  Coordinating 
Committee  meeting,  to  share  knowledge  and  understanding  of  the  respective  fusion 
programmes  and  strategic  roadmaps,  with  ITER  constituting  the  main  benchmark  for 
both  parties.  A  main  area  of  cooperation  is  the  potential  India  partnership  in  the  Joint 
European  Torus  (JET)  programme.  The  two  sides  agreed  to  establish  a  bilateral  'Task 
Force  on  the  JET  ELM  coils  project'.  The  mapping  of  bilateral  collaborative  activities 
between European and Indian labs is ongoing. 

Negotiations are also ongoing to allow India to join the Joint Programming Initiative on 
Water29 which is one of the important areas of cooperation between the EU and India and 
would contribute to the India-EU Water Partnership mentioned above. 

India  is  a  region  where  there  are  significant  prospects  for  Concentrated  Solar  Power 
(CSP).  Deployment  and  research  cooperation  activities  can  target  specific  applications, 
for example small-size CSP installations for rural areas. 

In the field of ICT, the areas of cloud computing, high performance computing, language 
technologies,  Internet  of  Things  and  e-infrastructures  were  identified  as  potentially 
promising areas for cooperation in the last meeting of the Joint ICT Working Group of 
January 2015. 

2.5.3.  Framework Conditions 

Framework  conditions  for  cooperation  in  research  and  innovation  between  the  EU  and 
India  are  relatively  satisfactory.  However,  the  Indian  patent  regime  should  be 
strengthened;  the  complex  legal  framework  simplified;  and  doing  business  made  more 
transparent. R&I cooperation potential is also inhibited by procedural delays and capacity 
constraints in certain government departments. 

To support the participation of entities established in India in Horizon 2020 collaborative 
projects,  a  co-funding  mechanism  has  been  agreed  with  the  DBT30.  The  mechanism 
covers all areas related to biotechnology: health, agriculture, food security, bioeconomy 
and bioenergy. A similar mechanism is being negotiated with the Department of Science 
and Technology and the Department of Electronics and Information Technology. 

Discussion with Indian authorities will be pursued to improve framework conditions for 
innovation, to promote the opening of Indian R&I programmes to EU researchers and to 
simplify administrative procedures.  

28 http://www.jpiamr.eu/ 
29 http://www.waterjpi.eu/ 
30 http://www.dbtindia.nic.in/wp-content/uploads/DBT-EUcallsunderH2020-.pdf 

25 

 
 
 
                                                 
2.6. 

Japan 

2.6.1.  Japan as a partner of the EU 

The  relations  between  the  EU  and  Japan  have  developed  steadily  over  the  past  two 
decades.  Sharing  many  of  the  same  challenges  (energy  security,  access  to  critical  raw 
materials,  ageing  populations)  and  defending  a  similar  approach  to  key  international 
challenges such as international security and climate change, Japan is in many ways one 
of Europe’s closest partners on the international arena. The twin negotiations on a Free 
Trade Agreement (FTA) and on a wider Strategic Partnership Agreement (SPA) covering 
political dialogue, cooperation in addressing regional and global challenges, and sectoral 
cooperation, including Science and Technology (S&T), are at the centre of the EU-Japan 
agenda. Their conclusion in 2016 is an EU priority. 

Japan is a global leader in S&T, accounting for 10% of global expenditures on R&D and 
19  Japanese  Nobel  Prize  winners  in  the  natural  sciences.  Japanese  R&D  spending  as  a 
share of GDP amounts to 3.87% according to Japanese statistical data (OECD estimate: 
3.59%31), close to the long-term goal of 4%. The 5th Basic S&T Plan (2016-2020) covers 
many areas that are also STI priorities on the EU side, and it is expected to result in new 
cooperation possibilities that generate tangible results out of the new EU-Japan Strategic 
Partnership in Research and Innovation (R&I).  

EU-Japan  cooperation  in  a  number  of  strategic  R&I  areas  is  expected  to  increase  the 
impact  of  research,  promote  innovation  and  strengthen  the  capacity  to  tackle  global 
societal challenges. 

2.6.2.  Priorities for S&T cooperation 
The 3rd EU-Japan Joint S&T Committee meeting in May 2015 agreed on the following 
priorities  for  future  strategic  cooperation:  (1)  maintaining  areas  where  cooperation  is 
already  substantial,  namely  ICT,  Aeronautics  and  Materials  (including  Critical  Raw 
Materials -  CRMs);  and  (2)  strengthening  cooperation  in  Energy  (non-nuclear),  Health, 
Environment  and  High-Energy  Physics.  Furthermore,  cooperation  is  already  substantial 
in Nuclear research, and there is a potential to increase cooperation in other areas such as 
Space, Security, and Research Infrastructures. 

ICT: Three coordinated calls have been launched since 2014 with the Ministry of Internal 
Affairs  and  Communication  (MIC)  and  the  National  Institute  of  Information  and 
Communications Technology of Japan (NICT) in 5G, Internet of Things, Cloud and Big 
Data. Under Horizon 2020 Work Programme (WP) 2018-2020, a forth joint call is being 
considered in areas such as 5G, Cloud, Internet of Things and Big Data. A joint call on 
"ICT Robotics based solutions for active and healthy ageing at home or in care facilities" 
has been launched. Cooperation in Active and Healthy Ageing is likely to continue in the 
future.  Another  key  area  of  joint  ICT  research  is  micro-  and  nano-electronics;  in  WP 
2016-2017  there is a call  for twinning between EU-funded  projects  and counterparts in 
Japan funded by Japan Science and Technology Agency (JST). Cyber Security is another 
area  of  common  interest.  ICT  Dialogues  have  been  established  between  the  European 
Commission  (EC)  and  MIC  with  annual  meetings  to  discuss  ICT  policies  and  R&I 
cooperation. 

Aeronautics  (and  other  transport  areas):  There  is  an  EC-METI  (Ministry  of  Economy, 
Trade  and  Industry)  Working  Group  on  Aviation  research.  Two  coordinated  calls  have 
been  launched  since  2014  with  METI/NEDO  (New  Energy  and  Industrial  Technology 

31 https://data.oecd.org/rd/gross-domestic-spending-on-r-d.htm  

26 

 
 
 
                                                 
Development  Organisation)  in  the  areas  of  high-speed  aircrafts,  anti-icing  systems, 
passenger-friendly  cabins,  heat  exchanger  systems  for  engines,  composite  structure 
manufacturing and smarter flight control. Support actions have been launched twice. In 
the field of automated vehicles, there is a trilateral dialogue (EU, Japan, US). 

Materials  research  (including  CRMs):  Japan  is  a  key  partner  in  the  EU-US-Japan 
Trilateral Dialogue on CRMs. There is cooperation in the area of substitution of critical 
metals in the WP 2014-2015 of Horizon 2020 and there are two call topics in WP 2016-
2017 on materials research covered by the co-funding scheme of JST (see below) on the 
substitution of CRMs and advanced materials for power electronics. 

Nuclear research: There is considerable cooperation in  both  fission  and fusion  (such as 
through ITER) under agreements between Euratom and Japan. Cooperation exists in the 
field  of  radioactive  waste  management,  and  cooperation  could  be  strengthened  in 
radiation  protection,  severe  accident  management,  nuclear  decommissioning  and 
decontamination, as well as Generation-IV (future reactor systems). Through the Broader 
Approach  partnership  and  post-Broader  Approach,  Japan  is  a  key  international  partner 
for  the  European  fusion  programme  (EUROfusion).  There  are  also  long  standing 
collaborations  between  the  JRC  and  Japanese  organisations  in  the  areas  of  safety  of 
nuclear fuel and fuel cycles, nuclear safeguards and security, and nuclear measurements. 

Energy  research  (non-nuclear):  Cooperation  has  been  discussed  in  areas  such  as 
hydrogen  fuel  cells,  energy  storage,  carbon  capture  and  storage,  electric  vehicles,  and 
critical materials for energy. Discussions are ongoing on establishing a platform for the 
exchange of information on energy research. The Joint Programme 'Wind-Energy' of the 
European Energy Research Alliance (EERA) is interested in cooperating with Japanese 
institutes, and a workshop on floating wind is planned for November 2016. Collaboration 
opportunities  also  exist  in  catalyst  development  for  biomass  conversion  and  emission 
reduction. 

Health  research:  The  EU  and  Japan  cooperate  in  multilateral  initiatives  aimed  at 
addressing  global  health  challenges,  such  as  the  International  Human  Epigenome 
Consortium (IHEC), the Human Frontier Science Programme (HFSP) (where Japan is the 
most significant funder), the International Human Microbiome Consortium (IHMC), the 
International Cancer Genome Consortium (ICGC), the International Mouse Phenotyping 
Consortium (IMPC), the International Rare Diseases Research Consortium (IRDiRC) and 
the  Global  Research  Collaboration  for  Infectious  Disease  Preparedness  (GloPID-R).  A 
coordinated call with MIC/NICT on ICT Robotics for active and healthy ageing has been 
launched.  There  is  scope  for  cooperation  through  the  European  and  Developing 
Countries  Clinical  Trials  Partnership  (EDCTP)  and  through  the  Joint  Programming 
Initiative  on  Anti-Microbial  resistance  (JPIAMR).  The  Japan  Agency  for  Medical 
Research  and  Development  (AMED),  launched  in  2015,  represents  an  important 
interlocutor for the EU in this area. 

Environment  research:  Cooperation  exists  through  multilateral  initiatives  (Group  on 
Earth Observations, Belmont Forum, Future Earth). High-level EU-Japan workshops on 
climate  change  are  organised.  "Nature-Based  Solutions"  for  Disaster  Risk  Reduction 
(DRR) and sustainable urbanisation is a possible area for future cooperation. In the area 
of  DRR,  the  JRC  has  a  multi-annual  collaboration  agreement  with  the  Disaster 
Prevention  Research  Institute  of  Kyoto  University  and  collaboration  with  the  Japanese 
Building Research Institute. 

Research  Infrastructures  (RIs):  Dialogues  have  been  ongoing  in  high-energy  physics, 
agriculture, biotechnology and genomics. Japanese facilities are among the ones listed in 
the  European  Roadmap  for  Research  Infrastructures,  in  the  domains  of  astrophysics 
(Cherenkov  Telescope  Array  -  CTA),  environmental  sciences  (EISCAT  3D  -  Europe's 

27 

 
Next-Generation  Radar  for  Atmospheric  and  Geospace  Science)  and  arctic  sciences 
(Svalbard Integrated Earth Observing System - SIOS). Japanese RIs are participating in 
European  initiatives  such  as  the  European  Circular  Energy-Frontier  Collider  Study 
(EuroCirCol)  funded  through  Horizon  2020,  and  are  collaborating  with  European 
partners in the field of population ageing (SHARE). The Horizon 2020 projects E-JADE 
and  JENNIFER  under  the  Marie  Skłodowska-Curie  Action  (MSCA)-Research  and 
Innovation Staff Exchange (RISE) have Japanese participation. 

Space research: The EU and Japan have an advanced space S&T sector and a powerful 
space  industry,  and  there  is  an  EU-Japan  Space  dialogue  as  well  as  long-standing 
cooperation  in  research  projects.  There  are  promising  areas  for  cooperation  in  the 
Copernicus  programme  (Earth  observation  and  climate  change,  e.g.  CO2  monitoring, 
oceans  monitoring,  support  for  the  management  of  natural  disasters).  Regarding  the 
satellite navigation system, there could be a real potential for working together in the area 
of  applications  (autonomous  driving,  3D  mapping,  rail,  agriculture  and  Global 
Navigation  Satellite  System  –  GNSS  -  standardization)  receivers  and  on  new  services 
such as the emergency warning service. 

Security research: There is a strong potential for R&D exchanges on Crisis Management 
and  on  the equipment  of  first  responders.  There  is also  a  Cyber  Security  dialogue with 
Japan, launched in 2014. 

Cooperation  with  Japan  is  also  progressing  in  the  context  of  the  EU  FET  Flagship  on 
Human  Brain  (HBP),  which  aims  at  developing  large-scale  simulation  of  human  brain 
and  mouse  brain  data.  The  other  FET  Flagship  on  Graphene  is  also  an  area  of 
cooperation. In both areas, regular workshops are taking place with the participation of 
prominent  European  and  Japanese  research  organisations  to  further  develop  this 
cooperation. 

In  addition,  Japan's  National  Institute  of  Advanced  Industrial  Science  and  Technology 
(AIST) and the JRC are currently discussing to formalise their cooperation in the fields 
of  nanotechnology,  metrology,  standardisation  and  photovoltaic,  via  a  Research 
Framework Arrangement. 

Besides  cooperation  in  thematic  areas,  both  parties  agree  on  the  importance  of  regular 
consultations  and  collaboration  on  major  STI  policy  issues,  such  as  on  Open  Science. 
The G7 S&T Ministerial meeting in May 2016 agreed to establish a G7 working group 
on  Open  Science,  which  the  EU  and  Japan  will  co-lead.  Another  cooperation  area  is 
outreach  to  society,  highlighting  the  benefits  of  EU-Japan  cooperation  in  STI.  An 
example of this is the European participation in "Science Agora 2015", a major science 
communication event organised annually by JST in Tokyo. 

2.6.3.  Framework Conditions 

Framework  Conditions for R&I cooperation with Japan are good, as could be expected 
from one of the world’s leading scientific ‘powerhouses’. Japan offers a predictable legal 
framework  and  intellectual  property  rights  protection.  However,  European  companies 
may still encounter non-tariff barriers, and Japan has a relatively challenging market for 
foreign  investment.  The  current  FTA  negotiations  are  focusing  on  the  removal  of  non-
tariff barriers and on the opening up of public procurement in Japan to EU businesses. A 
closer harmonisation of standards would be beneficial for both sides. 

Efforts  are  being  made  to  consolidate  framework  conditions  that  facilitate  R&I 
cooperative activities. Promoting opportunities for increasing the mobility of researchers 
between  Europe  and  Japan  is  important.  The  Implementing  Arrangement  between  the 

28 

 
 
Commission  and  the  Japan  Society  for  the  Promotion  of  Science  (JSPS)  provides 
opportunities  for  Japanese  researchers  to  pursue  research  collaboration  with  European 
Research  Council  grantees  in  Europe32.  The  MSCA  provide  further  opportunities  for 
researchers' mobility. 
The  23rd  EU-Japan  Summit  in  May  2015  acknowledged  the  importance  of  establishing 
streamlined  mechanisms  for  the  joint  funding  of  R&I  projects  to  fully  exploit  the 
potential  of  EU-Japan  cooperation.  The  funding  scheme  developed  by  JST  in  close 
collaboration  with  the  Commission  is  an  important  step  forward.  The  scheme  is  being 
implemented for the first time in WP 2016-2017 of Horizon 2020. 

32 JSPS and JST also fund long-term visits to Japan by overseas researchers. A number of bilateral schemes 

are in place. 

29 

 
 
                                                 
2.7.  Mexico 

2.7.1.  Mexico as a partner of the EU 

In  1997,  Mexico  was  the  first  Latin  American  country  to  conclude  an  Economic 
Partnership,  Political  Coordination  and  Cooperation  Agreement  with  the  European 
Union, in key areas of political, trade and security cooperation. Free Trade Agreements 
followed  in  2000  for  trade  in  goods  and  in  2001  for  trade  in  services.  The  EU  and 
Mexico  also  established  a  Strategic  Partnership  in  2008,  implemented  by  a  Joint 
Executive  Plan  endorsed  in  2010.  Both  sides  have  decided  to  adapt  the  contents of  the 
Global Agreement and the Strategic Partnership to reflect recent global geopolitical shifts 
and the negotiations on the new modernized agreement started in June 2016. 

Mexico ranks 15th among the EU's trade partners (16th in exports and 21st in imports) 
whereas the EU remains Mexico's second largest export market. 

The current Mexican government has made enormous progress in its structural reforms 
agenda in various sectors including the areas of telecommunications and energy, aimed at 
raising  productivity,  competitiveness  and  potential  output  growth.  The  reform  of  the 
energy sector has major implications for renewables with an ambitious goal to generate 
35% of its energy from renewable sources by 2024. 

The  capacity  of  Mexico  as  a  strategic  research  and  innovation  partner  of  the  EU  is 
therefore  increasing,  and  the  potential  of  our  cooperation  to  promote  breakthroughs, 
tackle  global  societal  challenges  and  increase  our  competitiveness  on  world  markets  is 
growing. 

The  Bilateral  Agreement  for  scientific  and  technological  cooperation  between  the 
European  Community  and  the  United  Mexican  States  was  signed  on  03/02/2004  and 
came into force on 13/06/2005. 

2.7.2.  Priorities for S&T cooperation 

The  Joint  Steering  Committee  (JSC)  which  oversees  the  implementation  of  the  EU-
Mexico  S&T  Agreement  has  emphasised  the  need  to  deepen,  scale  up  and  open 
cooperation in selected thematic areas. This has led to a number of initiatives: 

In  the  energy  area,  a  coordinated  call  on  'Enhanced  Geothermal  Systems  and  superhot 
systems' was launched in the 2016-17 WP of Horizon 2020 under the 'Secure, Clean and 
Efficient Energy' challenge. 10 Million Euros have been earmarked for the call on each 
side.  A  second  call  on  geothermal  energy  may  be  envisaged.  Furthermore,  both  parties 
agreed to explore other areas of possible cooperation including smart grids, solar energy 
and  energy  storage,  bearing  in  mind  that  prospective  benefits  need  to  be  mutual  and 
shared by the respective stakeholders. 

In  the  ICT  area,  promising  collaboration  is  taking  shape  in  the  context  of  the  Future 
Internet  Public  Private  Partnership.  One  of  the  objectives  is  to  establish  links  between 
Mexico and the EU on Future Internet services by setting up FIWARE Lab installations 
(Future  Internet  ware)  in  Mexico  and  supporting  the  development  of  services  based  on 
those platforms. The 2016-2017 Leadership in Enabling and Industrial Technologies ICT 
WP of Horizon 2020 targets inter alia the development, implementation and replication 
of  FIWARE-based  services  in  the  EU  and  Mexico.  Both  parties  also  envisage  future 
cooperation  on  High  Performance  Computing  applications  such  as  High-Performance 
Computing for energy (including various sub-fields like oil, renewables, wind, etc.), life 
sciences, earth sciences, air pollution and natural disasters. In WP2018-2020, the aim is 

30 

 
 
 
to build upon the established relations and co-operations by focusing on Next Generation 
Internet research themes. At the occasion of the OECD meeting in Cancun (22-24 June 
2016) it was agreed to start an ICT Policy dialogue by the end of 2016. 

In  the  area  of  health,  cooperation  will  continue  in  the  context  of  the  Global  Research 
Collaboration  for  Infectious  Disease  Preparedness  (GloPID-R)  and  the  Global  Alliance 
for Chronic Diseases (GACD). Efforts will be made to strengthen the participation and 
contribution of Mexican organisations in the Horizon 2020 health research programme. 
The Commission extended an invitation to Mexico to join the International Rare Disease 
Research Consortium (IRDiRC) in order to maximize the output of rare diseases research 
at a global level.  

In the area of environment and climate change, the Mexican National Council of Science 
and Technology (CONACYT) confirmed its interest to explore becoming a full member 
of  the  Belmont  Forum.  Both  parties  are  also  exploring  possibilities  for  developing  a 
strategic cooperation in Marine research and welcomed the possibility that Mexico could 
join the Atlantic Ocean Research Alliance.  

The  JRC  and  CONACYT  have  launched  discussions  in  view  of  exploring  possibilities 
for  developing  a  more  strategic  and  structured  approach  to  their  cooperation,  including 
biodiversity, metrology and food safety, using smart specialisation; linking with the EU 
Reference laboratories (EURLs) coordinated by the JRC33. 

In the area of Intelligent Manufacturing Systems, it was agreed to work together through 
the global IMS initiative34 with a special focus on production technologies and processes, 
ICT  for  manufacturing  and  the  nano-manufacturing.  Mexico  will  support  Mexican 
participants in IMS though CONACYT funds. Mexico currently holds the chair of IMS 
and the World Manufacturing Forum will be held in Mexico at the end of 2017. 

In the area of social sciences and humanities, Mexico continues its strong involvement in 
the Trans-Atlantic Platform dealing with social sciences and humanities. This EU funded 
initiative  is  a  collaboration  between  key  humanities  and  social  science  funders  from 
South  America,  North  America  and  Europe.  The  Platform  facilitates  the  formation  of 
networks  within  the  social  sciences and  humanities  and  helps  to  heighten  awareness  of 
the  crucial  role  the  social  sciences  and  humanities  play  in  addressing  21st  century 
challenges.  

In liaison with the Enterprise Europe Network, Mexico has set up the Enterprise Mexico 
Network  to  connect  Mexican  small  businesses  and  researchers  to  qualified  global 
opportunities,  facilitate  international  partnerships  and  create  trade  through  access  to 
public  and  private  sector  resources.  As  part  of  the  cooperation,  the  Enterprise  Europe 
Network  provides  information  on  events  and  access  to  a  database  of  European  and 
international companies in different economic sectors. 

As  an  example  of  leveraging  other  cooperation  funding  mechanisms,    the  Partnership 
Instrument  (of  the  European  External  Action  Service),  is  funding  the  Low  Carbon 
Business  Action  which  was  launched  in  August  2015  and  will  last  for  2  years 
(1.5MEUR).  This  will  facilitate  partnerships  between  EU  and  Mexican  SMEs  in  the 

33  Between  2013  and  2015,  Smart  Specialisation  strategies  were  developed  in  all  32  States  (including 
Mexico City) and three regions (north, centre-north and South-southeast), based on the European RIS3 
methodology and were called Agendas de Innovación. The innovation strategy and associated action 
plan  for  each  State  were  defined  with  the  aim  of  becoming  the  cornerstone  for  the  territory’s 
development and potential to innovate and compete in the regional, national and global context. 

34  IMS  is  an  industry-led,  international  business  innovation  and  research  and  development  program 
established  to  develop  the  next  generation  of  manufacturing  and  processing  technologies  through 
multi-lateral collaboration: http://www.ims.org. 

31 

 
                                                 
fields  of  energy  efficiency  and  waste  management.  Five  matchmaking  events  will  be 
organised in Mexico in the framework of the project. 

2.7.3.  Framework Conditions 

To support the participation of entities established in Mexico in Horizon 2020 projects, 
CONACYT  has  established  the  so-called  Conacyt-H2020  co-funding  mechanism35,  in 
place  since  2014.  This  co-funding  mechanism  provides  a  source  of  financing  for 
"project-by-project participation" by Mexican partners in Horizon 2020 projects covering 
all thematic areas. This complementary funding mechanism aims to reinforce EU-Mexico 
STI  cooperation  by  increasing  the  participation  of  Mexican  research  institutions  and 
companies in Horizon 2020.  

The EU-Mexico Joint Steering Committee has also agreed to continue to support efforts 
of multipliers, notably National Contact Points, for facilitating access to information and 
partnering  of  R&I  stakeholders.  Moreover,  both  sides  agreed  to  jointly  promote  the 
organisation  of  R&I  Days  and  other  matchmaking  events  to  facilitate  partnering  with 
both  academia  and  industry  with  the  support  of  the  EU  funded  EU-MEX-Innova  Bilat 
project. 

The  importance  of  schemes  for  researchers'  mobility  has  also  been  highlighted.  The 
signature  of  the  new  implementing  Arrangement  between  the  European  Research 
Council  (ERC)  and  CONACYT  in  November  2015  represents  an  important  stepping 
stone in the S&T relations with Mexico. Further joint efforts to promote the participation 
of  Mexican  researchers  and  research  institutes  in  the  EU’s  Marie  Skłodowska-Curie 
Research Fellowship Programme will also be made. 

35 http://www.conacyt.mx/index.php/el-conacyt/convocatorias-y-resultados-conacyt/convocatoria-conacyt-

horizon2020 

32 

 
 
 
                                                 
2.8.  New Zealand 

2.8.1.  New Zealand as a partner of the EU 

As  'like-minded'  partners,  the  EU  and  New  Zealand  share  many  common  values  and 
interests  and  see  eye-to-eye  on  key  international  and  global  issues  in  many  major 
international  fora,  among  them  the  United  Nations,  the  Pacific  Islands  forum  and  the 
OECD, including on climate change, openness of world trade, security and development 
in the Asia and Pacific regions, and promotion of human rights. 

EU  and  New  Zealand  have  commenced  work  towards  the  launch  of  negotiations  for  a 
Free  Trade  Agreement  in  order  to  remove  existing  market  access  barriers  for  goods, 
services, investment and public procurement. 

New  Zealand  and  the  EU  have  a  productive  science  and  innovation  relationship 
extending  back  over  many  years  with  science  and  innovation  systems  that  are  strongly 
aligned.  The  Partnership  Agreement  for  Relations  and  Cooperation  to  be  signed  by  the 
two parties in 2016 clearly identifies science and innovation as a key area for developing 
relations.  Indeed,  New  Zealand  has  world-class  expertise  in  areas  such  as  big  data, 
energy, resilient structures, precision agriculture and related technology. 

2.8.2.  Priorities for S&T cooperation 

At  the  Joint  Science  and  Technology  Cooperation  Committee  (JSTCC)  meeting  of 
December  2014  the  two  sides  emphasized  the  need  to  deepen,  scale  and  open  up 
cooperation in many areas: 

In  bio-economy,  the  potential  transformation  of  the  Knowledge-Based  Bio-economy 
Forum  (involving  Australia,  Canada,  EU  and  New  Zealand)  into  a  wider  International 
Bio-economy Forum was discussed. This new forum under construction would be built 
on  a  programme-level  spirit,  through  joint  projects,  twinning  activities,  scientific 
workshops,  and  by  linking  with  EU  Member  States.  In  parallel,  there  are  also 
opportunities  for  connections  and  collaborations  between  the  New  Zealand  National 
Science Challenges  (Our Land &  Water, The Deep South & Science  for Technological 
Innovation)  as  well  as  the  New  Zealand  Agricultural  Greenhouse  Gas  Research  Centre 
and  the  European  Joint  Programming  Initiative  on  Agriculture,  Food  Security  and 
Climate Change (FACCE-JPI), with which New Zealand already has some links. In the 
future New Zealand could take advantage of the existing links via more formal sharing 
and promotion of JPI activities to organisations from New Zealand, e.g. knowledge hubs, 
ERA-NETs or applying to Horizon 2020 calls. 

Further to the International Panel on Climate Change (IPCC) findings on the need for a 
'whole  ocean'  strategy,  ocean  research  strategy  and  governance  could  be  developed  in 
concert with New Zealand. The EU blue growth initiative and the NZ specific national 
science  challenge  on  sustainable  seas36  offer  a  strong  basis  to  collaborate  on 
strengthening  the  blue  economy  as  the  two  partners  are  well  equipped  with  strong 
research capacities in marine and maritime research. 

Regarding health research, New Zealand and the EU cooperate in multilateral initiatives 
aimed  at  addressing  global  health  challenges.  New  Zealand is,  with  the EU,  one  of  the 
countries  contributing  to  the  Human  Frontier  Science  Programme  (HFSP).  The 
Commission  encourages  New  Zealand  to  join  the  Global  Research  Collaboration  for 
Infectious Disease Preparedness (GloPID-R). 

36 http://sustainableseaschallenge.co.nz/  

33 

 
 
 
                                                 
The  Commission  and  New  Zealand  are  discussing  possibilities  to  collaborate  into  two 
key areas: administrative big data and precision agriculture. 

In  the  domain  of  research  infrastructures,  a  certain  degree  of  cooperation  has  been 
already  established  in  the  fields  of  bio-molecular  and  agricultural  technologies,  bio-
diversity  and  e-infrastructures  (networking,  grids,  computing).  New  fields  should  be 
explored  in  the  near  future,  such  as  ocean  monitoring,  disaster  mitigation,  climate 
modelling  and  aqua  cultures.  Potential  new  opportunities  for  cooperation  emerge  from 
the publication of the 2016 ESFRI Research Infrastructures roadmap37. 

In  the  context  of  COP21,  New  Zealand  decided  to  become  a  member  of  the  global 
geothermal alliance38 and geothermal energy39 could be a very promising field for future 
collaborative actions. 

2.8.3.  Framework Conditions 

There are no significant barriers to cooperation with New Zealand, which has also been 
recognised  in  the  last  ten  years  as  offering  one  of  the  most  stable  business-friendly 
environments in the world according to the World Bank (New Zealand ranks 1st  in 2005 
and 2nd in 2015 in the 'Doing Business' index).  

New  Zealand  places  high  priority  on  international  science  connections  and  Europe  is 
seen  as  a  key  partner.  Collaboration  with  international  science  partners  is  supported 
across  New  Zealand’s  domestic  science  funding  programmes.  The  recently  reframed 
Catalyst Fund is a tactical fund which specifically supports activities that initiate, develop 
and foster international science collaboration. The action-oriented approach taken by the 
New  Zealand  funders  and  research  communities  towards  financially  supporting  New 
Zealand  researchers'  participation  in  Horizon  202040  is  facilitating  collaboration. 
Framework  conditions  for  building  innovation  linkages,  including  cooperation  between 
SMEs,  are  also  attractive  as  New  Zealand  has  developed  an  advanced  innovation 
ecosystem.  New  Zealand  is  also  a  full  member  of  the  Enterprise  Europe  business 
Network (EEN)41. 

37 http://www.esfri.eu/roadmap-2016 
38 
http://www.irena.org/News/Description.aspx?NType=A&mnu=cat&PriMenuID=16&CatID=84&News_ID
=438 
39 http://iea-gia.org/about-us/members/  
40 https://ec.europa.eu/research/iscp/pdf/policy/eu_nz_communique.pdf 
41 http://een.ec.euopa.eu/  

34 

 
 
 
                                                 
2.9.  Republic of Korea 

2.9.1.  The Republic of Korea as a partner of the EU 

Since  2010,  the  EU  and  the  Republic  of  Korea  (South  Korea)  have  upgraded  their 
relationship to a Strategic Partnership with agreements in key areas of political, trade and 
security  cooperation,  including  on  global  challenges  such  as  terrorism,  energy  security, 
and climate change. South Korea is the EU's 8th largest export destination, whereas the 
EU is South Korea's 4th export destination. EU investment in South Korea is the largest 
source of Foreign Direct Investment. 

Over the past few decades, South Korea has achieved tremendous economic growth and 
global  integration  to  become  a  high-tech  industrialised  economy.  South  Korean  R&D 
spending  as  a  share  of  GDP  has  exceeded  4.1%,  which  has  placed  the  country  at  the 
frontier  of  cutting-edge  technologies,  advanced  systems  and  solutions  in  a  range  of 
sectors, from ICT, materials, chemistry and nanotechnologies to health and energy. 

EU-South Korea cooperation in a range of strategic R&I areas is therefore increasing the 
impact  of  research,  promoting  breakthroughs  and  boosting  the  ability  of  both  sides  to 
tackle global societal challenges effectively and to compete on world markets. 

2.9.2.  Priorities for S&T cooperation 

Both  the  EU  and  South  Korea  emphasise  the  need  to  deepen,  scale  up  and  open 
opportunities for cooperation in selected thematic areas.  

In  the  ICT  area,  a  joint  call  was  launched  under  the  2016-17  WP  of  Horizon  2020 
addressing the topics of 5G communication networks, Internet of Things and brokerage 
of mobile cloud services. A second joint call is foreseen under Horizon 2020 WP 2018-
20  addressing  these  areas  with  ongoing  discussion  with  Korean  counterparts  at 
MSIP/IITP. The  bilateral  ICT cooperation also includes  other ICT and  5G policy areas 
such as standardisation and spectrum management. 

In the non-nuclear energy area, both sides are engaging in twinning activities in the area 
of technologies and processes for post- and/or pre-combustion carbon capture. Initiatives 
for collaboration between EU projects, selected under the 2016-17 WP of Horizon 2020, 
and endorsed South Korean projects are launched from 2016 onwards.  

In  the  area  of  nanotechnology,  during  2015  and  2016  both  sides  cooperate  through 
Nanoreg, the multilateral nanosafety initiative for regulatory testing of nanomaterials.  

In the area of health and bio-medical challenges, cooperation continues in the context of 
the Global Research Collaboration for Infectious Disease Preparedness (GloPID-R). The 
EU  and  South  Korea  are  also  both  participating  in  the  International  Rare  Diseases 
Research  Consortium  (IRDiRC)  and  the  International  Human  Epigenome  Consortium 
(IHEC).  

In  the  area  of  satellite  navigation,  the  EC-Korea  Satellite  Navigation  Cooperation 
Agreement,  which  entered  into  force  on  1  July  2016,  foresees  the  promotion  of  joint 
research activities. 

further  areas  of 

future  EU-South  Korea  S&T  cooperation 

Potential 
include 
micro/nanoelectronics,  where  the  two  sides  have  agreed  to  exchange  roadmaps  and 
pursue  with  twinning/joint  activities  in  view  of  exploiting  synergies  and  developing  a 
more intense cooperation. Another potential area is materials modelling, where both sides 
have  agreed  to  promote  cooperation  and  South  Korea’s  active  cooperation  with  the 
European  Materials  Modelling  Council,  a  network  of  materials  modelling  stakeholders. 

35 

 
 
 
In  the  area  of  satellite  navigation  both  sides  have  agreed  to  continue  promoting  joint 
research  activities  and  partnering.  Further  possibilities  are  in  the  areas  of  innovative 
medicine and medical equipment, where cooperation could be strengthened e.g. on Anti-
Microbial Resistance, via the existing Joint Programming Initiative, and the International 
Initiative  for  Traumatic  Brain  Injury  Research.  New  cooperation  opportunities  are  also 
being sought in Smart Grids and other emerging areas in the energy industry sector, e.g. 
through the 'Mission Innovation' initiative on clean energy innovation. 

In  nuclear  energy  research,  a  bilateral  Work  Program  has  been  adopted  with 
consolidation and extension of collaborative activities, specific cooperation between the 
South  Korean  KSTAR  and  the  European  JET  programmes,  joint  exploitation  of  fusion 
facilities for risk mitigation in ITER delays, discussion on principles of an international 
networking of facilities in support to ITER, and potential South Korean participation in 
specific Broader Approach activities. 

In  fission,  cooperation  could  continue  under  the  calls  of  the  Euratom  Programme,  and 
future  nuclear  energy  systems  will  continue  to  be  addressed  (including  within  the 
Framework  Agreement  for  International  Collaboration  on  R&D  of  Generation  IV 
Nuclear  Energy  Systems).  In  fusion,  South  Korea  and  Euratom  have  roadmaps  for 
Demonstration  Power  Station  developments.  South  Korea  might  be  involved  in  the 
European  fusion  programme  and  the  EUROfusion  programme  including  through 
consolidation of cooperation between the JET and KSTAR tokamaks. 

The  European  Commission's  Joint  Research  Centre  collaborates  with  South  Korean 
institutions on seismic testing techniques for infrastructures, R&D and standardisation in 
construction. 

2.9.3.  Framework Conditions 

The  EU-South  Korea  Free  Trade  Agreement  is  creating  new  opportunities  for  market 
access.  It  includes  provisions  in  areas  such  as  competition  policy,  government 
procurement,  intellectual  property  rights,  transparency  in  regulation  and  sustainable 
development.  

In spite of the government-level agreement setting positive framework conditions, some 
practical issues in R&I cooperation still remain to be improved. These are illustrated by 
the  low  real  access  for  South  Korean-based  European  entities  to  South  Korean  R&I 
programmes,  and  the  lack  of  penetration  in  public  procurement  of  R&D  services  and 
innovative  solutions.  Today,  only  very  few  European  companies  undertake  R&D 
activities in South Korea, whereas there are growing opportunities for cooperation, both 
in research and in innovation. 

To  support  the  participation  of  entities  established  in  South  Korea  in  Horizon  2020 
projects, the South Korean government regularly launches calls for application to co-fund 
such participation. The mechanism covers all thematic areas of Horizon 2020. The two 
sides  have  agreed  on  early  exchange  of  programme  information  to  enable  provision  of 
such  co-funding  and  to  allow  for  monitoring  of  the  cooperation  intensity,  as  well  as  to 
continue  to  support  efforts  of  multipliers,  notably  National  Contact  Points  and 
matchmaking events to facilitate partnering with both academia and industry. 

Schemes  for  researchers'  mobility  are  important  cooperation  arrangements.  The 
Implementing Arrangement for South Korean researchers to join the teams of European 
Research Council Principal Investigators, signed during the EU-South Korea summit in 
2013,  is  progressing  well  with  several  calls  and  successful  visits  already  undertaken. 

36 

 
 
Mobility  of  researchers  is  also  promoted  through  the  EU’s  Marie  Skłodowska-Curie 
Research Fellowship Programme with hundreds of exchanges already taking place.  

37 

 
 
2.10.  Russian Federation 

2.10.1.  The Russian Federation as a partner of the EU 

Russia is the scientifically most important non-associated neighbour country to the EU. 
With a total R&D spending of about 35 billion euros (2011), Russia would rank between 
EU Member States like Italy and the UK. A high share of Russian R&D is performed by 
the business sector (62.4 %), while the government provides the major share of funding 
(66.5%) (figures of 200942). 

Scientific  relations  with  Russia  are  based  on  a  long  tradition  of  excellence,  a  large 
network  between  scientists  and  scientific  institutions,  and  they  are  underlined  by 
important  and  well  known  achievements  in  diverse  areas  of  science  and  their 
applications. Supporting these relations remains a priority, as was confirmed during the 
EU-Russia  Joint  Science  &  Technology  Cooperation  Committee  meeting,  which  took 
place on 24 June 2016 in Moscow. Restrictive measures imposed on Russia following the 
illegal annexation of Crimea and the destabilisation of Eastern Ukraine do not target S&T 
collaboration,  except  for  certain  technological  fields  related  to  off-shore  oil  and  gas 
exploration, and military applications. 

2.10.2.  Priorities for S&T cooperation 

All scientific fields of joint interest are a priority for EU-Russian S&T cooperation. This 
broad approach is based on the recognition of the neighbourhood, good EU-Russia S&T 
relations  and  the  importance  of  Russian  science.  It  is  also  in  accordance  with  the 
recommendations  from  the  Working  Group  on  Russia  of  the  Strategic  Forum  for 
International  Cooperation  (SFIC).  In-depth  discussions  within  the  working  group  have 
led  to  the  result  that  focusing  collaboration  exclusively  on  a  specific  list  of  subjects 
would  lead  to  omit  other  equally  important  subjects  where  collaboration  with  Russia 
exists already at a level that would not justify leaving them out. 

The Russian Ministry of Education and Science regularly updates a list of subjects from 
the  Horizon  2020  WP  which  are  of  interest  for  the  Russian  side.  The  list  is  published 
within  the  Russian  Country  Page,  which  also  describes  the  Russian  co-funding 
mechanism, on the Horizon 2020 Participant Portal. 

Collaboration in research infrastructures is a priority, including arctic research, Russia's 
membership in the Group of Senior Officials (GSO) and Russia's offer for access to its 
future  six  Megascience  facilities  –  facilitated  by  CREMLIN  project  –  Connecting 
Russian and European Measures for Large-scale Research Infrastructures, and through a 
wide  range  of  Russian  infrastructures  (currently  54  infrastructures)  that  are  open  for 
European collaboration. 

Innovation cooperation will be enhanced mainly via EUREKA and EUROSTARS. 

In addition, several Working Groups and dialogues have focused on research cooperation 
in  the  areas  of  aeronautics,  nuclear  safety,  space,  material  science  and  arctic  research. 
Priority  shall  be  given  to  Russia  joining  global  initiatives  in  research  related  to  health 
(e.g.  the  Global  Research  Collaboration  for  Infectious  Disease  Preparedness)  and  the 
bioeconomy. New initiatives are also possible and timely in the area of transport related 
to Clean Sky II, to European – Asian rail or to the northern passage from Europe to Asia 
through Arctic waters. 

42 National Science Board, Science and Engineering Indicators 2012, p. 4-47. 

38 

 
 
 
                                                 
In  nuclear  fission  research  both  sides  possess  complementary  nuclear  expertise  and 
infrastructures. Areas to be further exploited in bilateral cooperation are nuclear safety, 
plant-life  management  and  life  extension  of  existing  nuclear  power  plants  as  well  as 
specific aspects of the new Generation-IV reactors and systems (in particular fast neutron 
reactors). In fusion research, Russia has the capability of contributing to JET in the field 
of  diagnostic  development  and  application,  plasma/first  wall  interaction  studies, 
gyrotrons, as well as in other physics domains. 

2.10.3.  Framework Conditions 

Recent Russian regulations have improved conditions for foreign researchers working in 
Russia, even though some problems still persist as regards, for example, to registration of 
foreign offices in Russia or granting visa for foreign researchers visiting private institutes 
for more than three months per year. On the European side, the Scientific Visa Package 
facilitates  the  procedure  of  admitting  researchers  who  are  third-country  nationals  to 
Europe  for  the  purpose  of  scientific  research  (EU  Directive  2005/71/EC).  The  latter  is 
especially  important  for  allowing  Russian  scientists  access  to  those  research  facilities 
where they have invested bigger shares or which are operated jointly. 

The Russian Ministry of Education and Science established a co-funding mechanism for 
Russian  participants  in  Horizon  2020  actions  and  for  Russian  collaboration  with  EU 
Member  States.  The  priorities  for  Russian  co-funding  are  frequently  updated  and 
published  as  the  Russian  Country  Page  on  the  Horizon  2020  Participant  Portal.  The 
policy  dialogue  focusses  on  further  developing  the  co-funding  mechanism  and 
participation in ERANETs. 

The Marie Skłodowska-Curie actions (MSCA) part of Horizon 2020 (2014-20) continue 
to  offer  diverse  opportunities  for  EU-Russia  scientific  cooperation.  Two  Russian 
programmes  supporting  mobility  are  the  mega  grants  attracting  top-level  researchers  to 
Russian  institutions  and  the  scholarships  of  the  President  of  Russia  supporting  Russian 
PhD students abroad. 

39 

 
 
 
2.11.  United States 

2.11.1. The Unites States as a partner of the EU 

The  United  States  of  America  (US)  is  a  long  standing  partner  of  the  European  Union, 
relations  having  been  formalised  in  1990  with  the  adoption  of  the  Transatlantic 
Declaration.  The  European  Union  and  the  United  States  have  the  largest  bilateral  trade 
relationship and enjoy the most integrated economic relationship in the world. Research 
and  innovation  cooperation  between the  EU  and the  US  is  governed  by the  Agreement 
for Scientific and Technological Cooperation, which entered into force in 1998 and, after 
several renewals, is valid until October 2018.  

Among  individual  countries,  the  US  remains  by  far  the  biggest  R&D  performer  in  the 
world, accounting for almost 30% of global R&D expenditures. 39% of its GDP comes 
from high-technology manufacturing and knowledge-intensive service industries. It has a 
research intensity of 2.7%.43. Regarding participation to Horizon 2020, the US is so far 
the leading third country participant, both in number of participations and in funding. 

The  federal  government  is  the  primary  funder  of  basic  research  with  technological 
development  primarily  funded  by  industry.  While  US  federal  investment  in  R&D  has 
somewhat  stagnated  since  2010,  US  business  has  increased  its  R&D  investments, 
particularly in growing, high-opportunity sectors. Throughout a large country like the US 
certain States like California or Massachusetts play a dominant role in the overall global 
scientific impact of the country. Interestingly, while the USA is the current world leader 
in R&D, other countries are catching up and the gap to the followers is closing. 

The  U.S  has  established  a  global  network  of  scientific  cooperation  and  is  also  a 
privileged  partner  country  for  many  EU  Member  States  in  science,  technology  or 
innovation cooperation.  

2.11.2. Priorities for S&T cooperation 

Under the EU-US Science and Technology Agreement, health research cooperation with 
the  US  National  Institutes  of  Health  (NIH)  is  a  key  priority,  benefiting  from  mutual 
opening of the respective programmes leading to significant levels of cooperation in the 
first  years  of  Horizon  2020.  NIH  participates  also  in  several  multilateral  initiatives 
together  with  the  EU,  such  as  the  International  Rare  Diseases  Research  Consortium 
(IRDiRC), International Cancer Genome Consortium (ICGC) and the Global Alliance of 
Chronic Diseases (GACD). 

In the area of transport research there is a clear interest in collaborating in areas where 
inter-operability is necessary to ensure smooth and secure transatlantic/global flows (e.g. 
transport management systems and cargo tracking and tracing, aviation in general). 

EU-US  cooperation  on  energy  technology  research  and  innovation  continues  to  be 
promoted under the EU-US Energy Council and its Technology Working Group. Horizon 
2020  has  put  a  strong  emphasis  on  clean  energy  research  and  innovation  compared  to 
previous Research Framework Programmes. Indeed, there is strong potential for EU-US 
cooperation as follow up to COP21 and under the Mission Innovation initiative with both 
sides  aiming  to  strengthen  and  accelerate  global  clean  energy  innovation  with  the 
objective  to  make  clean  energy  widely  affordable.  Related  research,  development  and 

43 National Science Board Science and Engineering Indicators 2016:  
http://www.nsf.gov/statistics/2016/nsb20161/#/report  

40 

 
 
 
                                                 
demonstration  issues  are  expected  to  become  a  major  driver  to  focus  the  cooperation 
between the EU and US in the years to come. 

Fusion energy is one of the four priority areas agreed to expand under the EU-US Energy 
Council.  The  bilateral  cooperation  in  the  field  of  nuclear  fission  energy  research 
cooperation will continue to focus on nuclear safety as the highest priority.  

A specific call in 2017 will provide European and North American researchers, industry 
and  policymakers  with  a  platform  to  enhance  and  deepen  transatlantic  dialogue  on 
environmental  issues  related  to  Carbon  Capture  and  Storage  (CCS)  and  to  accelerate 
learning  and  provide  advanced  training  on  unconventional  hydrocarbon  development. 
Connecting  pilots  and  projects  across  the  Atlantic  should  bring  the  benefits  of  cross-
validation  of  technologies,  sharing  results,  distributing  tasks,  bundling  expertise  and 
expanding professional networks. 

The area of marine and Arctic cooperation should further expand as the implementation 
of  the  Galway  Statement  increases  momentum.  The  type  of  activities  could  be  more 
programme level cooperation in form of programme alignment with relevant US partners 
as discussed with NSF, NASA and in particular NOAA.  
The  EU  Human  Brain  Project44  and  the  US  BRAIN  Initiative45  provide  a  further 
possibility for large scale cooperation on the basis of existing initiatives. In the case of 
the FET Flagship Graphene, a EU-US collaboration scheme has been launched together 
with NSF. 

Over  the  last  years  regular  workshops  on  Future  Internet  Experimentation  have  been 
organised between EU and US. In the annual EU-US ICT Dialogue 2016 it was agreed to 
explore possibilities to scale up the collaboration. 

Another  ICT  area  where  a  further  development  of  EU-US  cooperation  is  expected  is 
cyber-physical  systems  (CPS).  This  transatlantic  collaboration  on  societal-scale  CPS 
should promote global standards and interoperability for safe and secure CPS platforms 
and applications. 

Collaboration  between  Europe  and  the  United  States  in  the  domain  of  Research 
Infrastructures is considered as highly strategic especially in the frame of consolidating 
the  support  to  the  Transatlantic  Ocean  Research  Alliance.  Increased  cooperation  on 
marine and Arctic Research Infrastructures (interoperability, data management, better use 
and  access,  funding  strategy,  innovation  and  links  with  industry)  is  planned.  The 
publication of the 2016 ESFRI Research Infrastructure roadmap also provides a number 
of  additional  opportunities  for  collaboration  which  could  be  explored  in  the  frame  of 
dedicated dialogues. 

In addition, direct scientific cooperation between the JRC and the US is progressing with 
NOAA, the U.S. Geological Survey (USGS), and the U.S. Department of Energy (DOE). 

2.11.3. Framework Conditions 

The  US  provides  innovation-friendly  framework  conditions  and  its  investment  climate 
makes it an attractive place to commercialize innovative products, services and solutions. 
In addition, the US has one of the world’s strongest legal systems for the protection of 
intellectual property rights. 

44 https://www.humanbrainproject.eu/ 
45 http://www.nih.gov/science/brain/ 

41 

 
 
 
                                                 
The  general  framework  conditions  for  EU-US  cooperation  have  been  improving  over 
successive  Framework  Programmes.  As  a  unique  feature  in  the  bilateral  S&T 
cooperation,  US  participants  are  eligible  to  receive  EU  funding  in  projects  funded 
through the Horizon 2020 Health challenge, reflecting the reciprocal funding offered to 
EU participants by the NIH.  

While  cooperation  tends  to  become  more  visible  and  effective  at  programme  level, 
bottom  up  project  participation  is  also  a  strong  feature  of  the  cooperation.  Some  US 
Federal  entities  are  reluctant  or  unable  to  sign  the  Horizon  2020  grant  agreements  and 
therefore  do  not  become  formal  partners  in  Horizon  2020  projects.  The  two  sides  have 
agreed  that  progress  on  reciprocal  understanding  of  legal,  administrative  and  financial 
issues of Horizon 2020 as well as relevant US programmes is needed. 

42 

 
 
3.  DEVELOPING COUNTRIES / REGIONS 

3.1. 

South Africa 

3.1.1.  The Republic of South Africa as a partner of the EU 

The Trade, Development and Cooperation Agreement (TDCA) of 2000 is the legal basis 
for the overall relations between the Republic of South Africa (South Africa) and the EU. 
The  TDCA  covers  political  dialogue,  the  establishment  of  a  free  trade  area  over  an 
asymmetrical  twelve-year  period,  development  cooperation,  economic  cooperation,  and 
cooperation  in  a  whole  series  of  other  areas.  Scientific  collaboration  between  South 
Africa and the EU is monitored by the Science and Technology Cooperation Agreement 
which was concluded in 1996 and entered into force in November 1997. The cooperation 
allows  to  jointly  tackle  global  challenges  building  on  complementary  knowledge, 
geographical  conditions  and  optimising  the  use  of  world-class  research  infrastructures. 
Moreover, the EU and  South Africa agree that one of the requirements for an effective 
fight  against  poverty  in  the  African  Caribbean  Pacific  countries  is  the  application  of 
knowledge  gained  from  science  and  technology  to  promote  innovation  and  develop 
appropriate technologies  to  be deployed locally. Positive achievements  also result from 
effective synergies between EU  Research and  Development policies and instruments in 
addressing  South  Africa's  needs  in  terms  of  strengthening  local  scientific  and 
technological  capacities  and  contributing  to  the  emergence  of  an  innovation-friendly 
environment. 

3.1.2.  Priorities for S&T cooperation 
As  member  of  the  European  and  Developing  Countries  Clinical  Trials  Partnership46 
(EDCTP2), South Africa will continue to cooperate with the EU and EDCTP2 members 
on  infectious  and  parasitic  diseases  such  as  AIDS,  tuberculosis,  malaria,  sleeping 
sickness,  hookworm  diseases  and  Ebola.  South  Africa  and  the  EU  will  continue  to 
cooperate  in  multilateral  health  research  initiatives  which  aim  to  address  global  health 
challenges,  such  as  the  Global  Alliance  for  Chronic  Diseases  and  the  Global  Research 
Collaboration  for  Infectious  Disease  Preparedness,  in  which  both  South  Africa  and  the 
European  Commission  participate  as  members.  Cooperation  also  takes  place  in  the 
Global  Tuberculosis  Vaccine  Partnership,  co-chaired  by  the  Medical  Research  Council 
and the Department of Science and Technology of South Africa. 

The  EU  and  South  Africa  have  a  good  level  of  cooperation  in  research  infrastructures, 
e.g.  in  radio-astronomy  and  astro-particle  physics.  South  Africa  is  one  of  the  major 
players in the Square Kilometre Array (SKA) ESFRI roadmap projects, and has already 
designed and built the MeerKAT telescope as a pathfinder to the SKA. In the next years, 
the EU will continue supporting the development of the Square Kilometre Array through 
a dedicated grant signed at the end of 2015. South Africa is also an active member of the 
Group of Senior Officials on Global Research Infrastructures for which it has offered to 
take the chairmanship as of October 2016.  South Africa will co-host with the European 
Commission,  the  International  Conference  on  Research  Infrastructures  in  Cape  Town 
from 3 to 5 October 2016. 

South Africa has set out a clear Earth Observation Strategy. Together with the European 
Commission  (DG  RTD),  it  co-chairs  the  Group  on  Earth  Observations  (GEO47).  The 
focus will be on supporting the implementation of the new 10 year strategic plan of the 

46 http://www.edctp.org/  
47 http://www.earthobservations.org/about_geo.shtml  

43 

 
 
 
 
                                                 
Global  Earth  Observation  System  of  Systems  (GEOSS)  and  AfriGEOSS,  the  African 
segment of GEOSS. The EC and South Africa are also involved in the development of an 
Integrated Atlantic Observing System. Launched at the Rio+20 Summit in 2012, 'Future 
Earth'  is  a  10-year  international  research  initiative  that  will  develop  the  knowledge  for 
responding effectively to the risks and opportunities of global environmental change and 
for  supporting  transformation  towards  global  sustainability  in  the  coming  decades. 
Although  a  regional  hub  in  Africa  is  being  established,  South  Africa  is  still  under-
represented in this initiative. The South African National Research Foundation is the only 
African research & innovation funding agency that is a member of the Belmont Forum. 
The  EU-South  Africa  Partnership  could  gain  from  more  South  African  research  and 
innovation funding agencies becoming members of the Forum.  

South  Africa  has  committed  to  the  EU-Africa  Research  and  Innovation  Partnership  on 
food  and  nutrition  security  and  sustainable  agriculture.  A  roadmap48  towards  this 
Research  and  Innovation  Partnership,  comprising  a  research  agenda,  short-  to  medium-
term  actions  towards  implementation  (2014-2017)  and  reflections  on  long-term  options 
for  implementation  (by  2020  and  beyond)  was  adopted  at  the  3rd  meeting  of  the  EU-
Africa  High  Level  Policy  Dialogue  on  4-5  April  2016,  in  Addis-Ababa,  Ethiopia.  To-
date, the Commission has committed 47.5 MEUR over 4 years (2014 and 2017) to this 
Research  and  Innovation  Partnership,  30  MEUR  from  Horizon  2020  and  17.5  MEUR 
from the Pan-African Instrument and welcomes similar commitments from European and 
African countries.  

Atlantic Ocean research cooperation is one of the main developing areas of joint interest. 
In parallel with the ongoing North Atlantic cooperation, significant steps have been taken 
towards  an  All  Atlantic  Ocean  Research  Alliance.  South  Africa  signaled  its  interest  to 
sign a Memorandum of Understanding with the Commission, similar to the one already 
signed with Brazil in November 2015. This document is scheduled to be signed in South 
Africa on the occasion of the next EU-South Africa JSTCC meeting in October 2016. In 
parallel,  South  Africa  and  Brazil  signed  a  joint  document  on  South-South  Atlantic 
research  cooperation  in  October  201549  aiming  at  developing  a  South  Atlantic  Science 
Plan. It also involves other South Atlantic countries, such as Namibia, Angola, Argentina 
and Uruguay. In this context, a broadening towards the Antarctic should be explored in 
the short term.  

South  Africa  is  actively  involved  in  the  ERANET  COFUND  Waterworks2015  which 
aims at pooling resources to implement a joint call for proposals in the area of sustainable 
water use in agriculture and forestry.  

South Africa is a partner in the ERANET ERAMIN on mining and minerals research and 
innovation. Building on South Africa's involvement in this project, enhanced cooperation 
will be sought in the context of the European Innovation Partnership on raw materials. 

3.1.3.  Framework Conditions 

Several  activities  have  been  undertaken  in  support  of  the  participation  of  entities 
established in South Africa to Horizon 2020, namely training activities and information 
days about participation in Horizon 2020 were provided both to South African national 
contact  points  (NCPs)  and  to  researchers  and  academics  in  South  Africa.  South  Africa 
has set up a well-functioning network of National Contact Points. 

48 http://ec.europa.eu/research/iscp/pdf/policy/eu-africa_roadmap_2016.pdf  
49 https://ec.europa.eu/research/bioeconomy/pdf/declaration_of_intent.pdf 

44 

 
 
                                                 
An  Implementing  Arrangement  was  signed  in  2015  between  the  European  Research 
Council  and  the  National  Research  Foundation  providing  research  opportunities  in 
Europe for South African early-mid career researchers. South Africa became a member 
of EUREKA in 2014 and established a Europe Enterprise Network node in 2015. 
A remaining problem lies in the commercialisation of research results50. The EU shares 
its  lessons-learnt  with  South  Africa  in  this  domain.  South  Africa  has  been  a  WTO 
member  since  1995  and  is  a  signatory  to  the  TRIPS  Agreement51  that  resulted  in 
expanded  commitments  to  internationally  binding  guarantees  of  intellectual  property 
rights. 

50 OECD Review Report on South Africa (2006) 
51 http://www.wipo.int/wipolex/en/other_treaties/parties.jsp?treaty_id=231&group_id=22 

45 

 
 
                                                 
3.2.  African Union 

3.2.1.  The African Union52 as a partner of the EU 

Africa is a unique partner for the EU for historical and geographical reasons. The high 
degree of interdependence between Africa and Europe as well as the shared principles of 
equal  partnership  and  joint  ownership  have  contributed  to  the  development  of  a  long-
term, broad and evolving partnership across various policy areas.  

Since the adoption in 2007 of the Joint Africa-EU Strategy (JAES) and the launch, at the 
2010 Africa-EU Summit, of the High Level Policy Dialogue on science, technology and 
innovation, cooperation between the African Union and the EU has grown. At the 2014 
EU-Africa Summit, the EU and African Heads of States and Governments agreed on the 
crucial  role  of  science  and  innovation  in  boosting  employment,  competitiveness  and 
growth, and in addressing pressing societal challenges  such as  food security, infectious 
diseases,  energy  efficiency  and  climate  change.  Africa  needs  to  strengthen  its  capacity 
for innovation to participate more effectively in the global economy.  

Positive achievements of EU-Africa cooperation are also the result of effective synergies 
between  EU  Research  and  Development  policies  and  instruments  in  addressing  the 
region's local scientific and technological capacities needs. 

3.2.2.  Priorities for S&T cooperation 

During the last two years, important efforts have been deployed to pave the way towards 
an  EU-Africa  Research  and  Innovation  Partnership  on  food  and  nutrition  security  and 
sustainable  agriculture.  The  Research  and  Innovation  Partnership  aims  at  using  a  food 
systems'  approach  with  a  focus  on  sustainable  intensification,  nutrition,  trade  and 
markets,  linking  research  to  innovation,  and  involving  all  stakeholders,  from  research 
organisations  to  private  sector  (including  farmers),  civil  society,  and  local  and  national 
authorities. A roadmap53 towards this Research and Innovation Partnership, comprising a 
research agenda, short to medium-term actions towards implementation (2014-2017) and 
reflections  on  long-term  options  for  implementation  (by  2020  and  beyond)  has  been 
adopted  at  the  3rd  meeting  of  the  EU-Africa  High  Level  Policy  Dialogue  on  4-5  April 
2016, in Addis-Ababa, Ethiopia. To date, the European Commission has committed 47.5 
MEUR between 2014 and 2017 into this Research and Innovation Partnership, 30 MEUR 
from  Horizon  2020  and  17.5  MEUR  from  the  Pan-African  Instrument  and  welcomes 
similar commitments from European and African countries. 

At  this  2016  EU-Africa  High  Level  Policy  Dialogue  meeting,  general  discussion  on 
potential future activities also took place with a focus on "global change" (climate change 
and renewable energy) and "global health". The EU-Africa High Level Policy Dialogue 
Bureau was tasked to come forward with a proposal by 2017. 

'Global  change'  such  as  climate  change  and  renewable  energy  demand  a  cross-cutting 
focus  on  earth  observation  tools  and  research  infrastructures,  i.e.  the  use  of  climate 
information  and  other  data 
levels  for 
administration,  business  and  citizens'  needs.  With  the  Copernicus  Climate  Change 
Service and with the related European earth observation and climate service capabilities, 
the  EU  is  already  supporting  climate  services'  developments  in  Africa  through  various 
actions  of  the  European  and  of  Member  States  development  cooperation.  These  can  be 
strengthened and further helped to reach operational capabilities through future scientific 

to  support  decision-making  at  various 

52 http://www.au.int/en/countryprofiles 
53 http://ec.europa.eu/research/iscp/pdf/policy/eu-africa_roadmap_2016.pdf  

46 

 
 
 
                                                 
cooperation  activities,  jointly  supported  by  Horizon  2020  and  the  development 
cooperation  programmes,  also  contributing  to  the  Global  Framework  for  Climate 
Services.  The  aspect  of  renewable  energy  will  built  on  a  recent  study54  on  renewable 
energy and research and innovation capacity in Sub-Saharan Africa. 

Closer  cooperation  is  also  sought  in  the  context  of  the  Belmont  Forum.  The  Belmont 
Forum, created in 2009, is a global partnership of 21 research funding organisations and 
science  councils investing  in  the  advancement  of  interdisciplinary  and transdisciplinary 
research in the field of global environmental change challenge. 

In  terms  of  global  health,  the  second  phase  of  the  European  and  Developing  Countries 
Clinical  Trials  Partnership55  (EDCTP2)  is  working  with  a  budget  of  nearly  €  2  billion 
(2014-2024),  of  which  €  683  million  come  from  Horizon  2020.  Today,  14  African 
countries and 14 Member States of the EU are part of EDCTP2 in which members work 
together  against  infectious  and  parasitic  diseases  such  as  AIDS,  tuberculosis,  malaria, 
sleeping  sickness,  hookworm  diseases  and  Ebola.  Closer  cooperation  with  African 
countries  is  sought  in  Global  Health  research  initiatives  such  as  on  non-communicable 
diseases (Global Alliance for Chronic Diseases), growing at a fast pace in Africa; Anti-
Microbial  Resistance  (AMR)  and  emerging  infectious  diseases  (Global  Research 
Collaboration for Infectious Disease Preparedness). 

Cooperation with Africa through the Group on Earth Observation (GEO) and its 10 year 
strategic  plan  to  2025  will  continue.  AfriGEOSS  as  the  African  segment  of  the  Global 
Earth  Observation  System  of  Systems  (GEOSS),  should  enhance  earth  observation  and 
climate monitoring capacities in Africa, as part of the global system to deliver services in 
priority domains for Africa, such as for food security and health. In this context, the GEO 
governments,  when  they  agreed  to  adopt  the  GEOS  strategic  plan  to  2025,  resolved  to 
strengthen  engagement  with  developing  countries  and  foster  regional  cooperation.  The 
Commission is supporting GEOSS activities in Africa through several projects based on 
earth observation, in particular to provide projection for food production and assessment 
of biological resources. The Commission will continue its research and innovation efforts 
to increase earth observation capacity in Africa (in particular in North Africa). 

Cooperation  also  takes  place  on  raw  materials  research  and  innovation  diplomacy  with 
the African Union. 

Cooperation with Africa in ICT focusses on the co-design, adaptation, demonstration and 
validation  (e.g.  pilots)  in  of  ICT  related  research  and  innovation,  including  in  Content 
Technologies and Societal Challenges. To date, about €11 million worth of grants have 
been  awarded  in  e-health,  Big  Data  and  geospatial  data  for  land  tenure.  The  ICT  WP 
2016-2017  call  for  "partnerships  with  to  low  and  middle  income  countries"  offers 
additional opportunities for cooperation with sub-Saharan Africa being one of the regions 
targeted and a total budget of €13 million. 

3.2.3.  Framework Conditions 

There  is  concrete  commitment  on  both  sides  to  strengthen  the  overall  cooperation 
framework  in  the  field  of  science,  technology  and  innovation.  Several  activities  have 
been  undertaken  in  support  of  the  participation  of  entities  established  in  Africa  to 
Horizon  2020,  namely  training  activities  and  information  days  were  provided  both  to 
third country national contact points (NCPs) and to researchers and academics in African 

54 http://www.ecorys.com/news/study-renewable-energy-and-research-and-innovation-capacity-sub-

saharan-africa 
55 www.edctp.org/ 

47 

 
 
                                                 
countries.  In  the  future,  the  cooperation  will  continue  to  address  the  factors  that  are 
hampering  the  cooperation  such  as  the  low  level  of  research  intensity  in  most  African 
countries, the low level of awareness about Horizon 2020, unequal access to information 
about  cooperation  opportunities,  difficulties  in  finding  European  partners,  institutional 
weakness,  the  uptake  of  research  results  and  the  visibility  of  successful  collaborative 
research projects. 

48 

 
 
3.3.  ASEAN 

3.3.1.  The ASEAN as a partner of the EU 

ASEAN is the Association of Southeast Asian Nations composed of Brunei, Cambodia, 
Indonesia,  Laos,  Malaysia,  Myanmar,  Philippines,  Singapore,  Thailand,  and  Vietnam. 
With a population of 622 million people, a GDP of 2,574 billion $ and a GDP growth of 
4.6%56, ASEAN is emerging as one of the most rapidly developing regions of the world. 

The ASEAN Economic Community (AEC), launched in late 2015, brings ASEAN to a 
new level of regional integration. Cooperation in research and innovation is administered 
now at regional level within the ASEAN secretariat under the pillar of Economic affairs. 
The  recent ASEAN  Plan  for  Action  on  Science,  Technology  and  Innovation  (APASTI, 
2015-2020)  and  the  ASEAN  ICT  Masterplan  (2015-2020)  lays  out  the  principles  and 
strategic activities for regional research and innovation policy. 

The  2015  Communication  to  the  European  Parliament  and  the  Council  "The  EU  and 
ASEAN:  a  partnership  with  a  strategic  purpose"  placed  emphasis  on  Science, 
Technology  and  Innovation  (STI)  cooperation.  Scientific  cooperation  is  part  of  the 
partnership between the two regions since 2007 and has always featured in the context of 
the EU-ASEAN Ministerial Meetings. Cooperation of EU with the ASEAN countries in 
a variety of STI areas augments the capability to tackle challenges that are important for 
both regions and boosts their ability to compete in world markets. 

3.3.2.  Priorities for S&T cooperation 

Priorities for EU-ASEAN cooperation address several areas: 

In  the  area  of  food  security  and  safety,  sustainable  aquaculture  production  has  been  a 
major challenge for both sides. The aim is to achieve common standards and legislation, 
create business opportunities and consolidate EU-Southeast Asia education and training 
networks. 

In the area of nanotechnology, nano-safety and nano-measurements, cooperation is being 
undertaken  through  Nanoreg  (regulatory  testing  of  nanomaterials),  of  which  Thailand 
became the first ASEAN member in 2014. 

In  the  health  area,  cooperation  is  undertaken  via  multi-lateral  initiatives,  e.g.  on 
infectious  diseases  through  the  Global  Research  Collaboration  for  Infectious  Disease 
Preparedness  joined by Thailand; on the International Cancer Genome Consortium that 
Singapore joined, and also via the Human Frontier Science Programme in 2014 of which 
Singapore is a member. In addition, there is potential to conduct joint research at regional 
level on antimicrobial resistance. 

The  priority  for  ICT-related  research  is  innovative  service  creation  based  on  existing 
technologies,  with  particular  focus  on  the  involvement  of  innovation  stakeholders  and 
end-user community representatives, e.g. through innovation hubs or “Living Labs”. This 
has been translated in the ICT WP 2016-17 into a call for "partnerships with to low and 
middle  income  countries"  with  ASEAN  being  one  of  the  regions  targeted  and  a  total 
budget of €13 million. It asks for the co-design, adaptation, demonstration and validation 
(e.g. pilots) of ICT related research and innovation in relevant thematic areas addressed 
by Horizon 2020 including Content Technologies and Societal Challenges. 

56 http://www.asean.org/storage/2015/11/ASEAN_Statistic_Leaflet_2015.pdf 

49 

 
 
 
                                                 
Prospects in new areas for cooperation are also strong. For example, the management and 
sustainability of water resources and river systems, such as the Mekong, is an important 
priority  for  many  countries  in  the  region,  in  particular  in  connection  to  food  security, 
energy  and  pollution  in  cities.  Another  example  is  the  improvement  of  waste 
management,  which  offers  opportunities  not  only  in  urban  and  industrial  contexts  but 
also with a view to reducing marine litter. 

Maritime transport is another major challenge and will play a role in regional integration 
by  addressing  transport  safety.  Knowledge  transfer  from  the  EU  can  support  better 
operational standards to improve safety and raise environmental standards. 

3.3.3.  Framework Conditions 

Efficient framework conditions are a necessary step for establishing balanced and long-
term  cooperation.  Research  and  innovation  cooperation  between  the  EU  and  ASEAN 
countries  is  being  hampered  by  a  wide  range  of  factors  ranging  from  the  lack  of 
substantial  common  resources  among  ASEAN  Member  States  to  implement  actions  at 
regional level, very low R&D investment in some of the countries and low public-private 
sector links. Nonetheless, the situation is changing as the region develops, with emerging 
opportunities  for  Europe  to  engage  especially  on  R&I  to  address  societal  and  global 
challenges. 

Given the absence of R&I funding at regional level, a multilateral mechanism to support 
projects of common interest between Southeast Asia and the EU countries would be of 
substantial value. Such a scheme on the basis of a flexible “variable geometry” principle 
is  currently  the  subject  of  a  pilot  action  under  the  SEA-EU-net  project57,  and  was 
discussed at the latest EU-ASEAN Dialogue58. 

57 https://sea-eu.net/ 
58 http://www.asean.org/chairmans-statement-of-the-16th-asean-ministerial-meeting-on-science-and-

technology-ammst-16/ 

50 

 
 
 
                                                 
3.4.  CELAC 

3.4.1.  CELAC as a partner of the EU 

The  European  Union  and  Latin  America  and  the  Caribbean  have  enjoyed  privileged 
relations  since  the  first  bi-regional  Summit  in  1999,  which  established  a  strategic 
partnership.  Since  it  was  launched  in  2010,  the  Community  of  Latin  American  and 
Caribbean States (CELAC) is the EU’s counterpart in the bi-regional partnership. 

The EU is the second trade partner for the CELAC region and also remains the leading 
foreign investor in CELAC countries.  

Cooperation  between  the  EU  and  CELAC  in  the  field  of  Science,  Technology  and 
Innovation  has  been  recognized  as  a  very  successful  chapter  under  the  overall  EU-
CELAC Partnership59. The focus of cooperation has been on common challenges such as 
climate change and biodiversity, bioeconomy, energy, health and ICT. The EU-CELAC 
Summit in June 2015 called for a strengthened political framework for cooperation and 
moving towards a Common Research Area. At the 5th Senior Officials Meeting under the 
EU-CELAC  Joint  Initiative  for  Research  and  Innovation  (JIRI)  in  March  2016,  the 
Senior  Officials  confirmed  their  commitment  to  the  implementation  of  the  Common 
Research  Area  based  on  three  pillars:  mobility  of  researchers,  access  to  research 
infrastructures and jointly addressing common challenges. 

3.4.2.  Priorities for S&T cooperation 

Mobility of researchers will continue to be promoted by the European Research Council 
(ERC)  via  framework  conditions  to  allow  scientists  to  temporarily  join  research  teams 
run by ERC grantees. Likewise, the Marie Skłodowska-Curie Actions continue to offer 
significant mobility opportunities in both directions, as proven by the significant number 
of researchers hosted by both CELAC and European organisations in the first two years 
of Horizon 2020. 

The access to the 'Research Infrastructures' pillar will build on existing cooperation such 
as  the  joint  venture,  EULALINK,  which  was  established  in  June  2015  to  lay  a 
transatlantic optic fibre cable from Portugal to Brazil with extensions to nearly all South 
American countries. The Commission supports a group of public actors (gathered in the 
consortium BELLA: Building European Link to Latin America60) that can take advantage 
of the new  capabilities offered with the objective to extend the cable's high capacity to 
other  academic  networks  in  Latin  America,  ensuring  capillarity  and  equal  access  for 
academia and non-profit organisations in the region. 

The installation of the trans-Atlantic submarine cable will offer opportunities to enhance 
joint development and access to Research Infrastructures in a number of scientific areas 
such  as  physics,  cultural  heritage,  biodiversity  and  carbon  cycle  (in  particular  in 
connection  with  the  LIFEWATCH  infrastructure).  Higher  connectivity  will  increase 
opportunities for research infrastructures from Latin America to further develop links to 
European infrastructures and to participate in the 'Integrating Activities of the Research 

59 In addition to regional cooperation, 4 of the 33 CELAC countries have bilateral S&T Agreements with 

the EU (Argentina, Brazil, Chile and Mexico).  

60  BELLA  is  composed  of  12  European  and  Latin  American  Research  and  Education  Networks: 
RedCLARA  (the  Latin  American  regional  network,  leader  in  collaboration  with  GEANT),  GEANT 
(the  European  regional  network)  and  the  networks  from  Brazil,  Colombia,  Ecuador,  Peru,  Chile, 
Portugal, Spain, France, Italy and Germany. 

51 

 
 
 
                                                 
Infrastructure'  part  of  Horizon  2020,  which  can  fund  the  access  of  international  users 
(Research teams) to European research infrastructures. 

A mapping of existing research infrastructures in the CELAC region and an appropriate 
understanding of their regional capacity will allow the definition of strategic priorities for 
collaboration between the EU and CELAC. 

Under  the  third  pillar  of  the  Common  Research  Area  'Jointly  addressing  common 
challenges' there is a wide range of on-going cooperation and considerable potential for 
more.  

In  the  area  of  biodiversity  and  climate  change,  the  Belmont  Forum  is  an  important 
platform  through  which  the  EU  implements  its  international  cooperation  strategy.  In 
2016 it will implement two new collaborative research actions on 'Food, Water & Energy 
for Sustainable Global Urbanisation' and 'Transformations to sustainability'. In addition, 
an  extension  of  ongoing  Belmont  Forum  activities  in  the  fields  of  e-Infrastructures 
(targeting open access to data and e-Infrastructures) and biodiversity are foreseen in the 
coming years. CELAC countries are encouraged to participate in the Belmont Forum and 
take advantage of the cooperation opportunities it offers. 

Sustainable urbanisation  is a  shared priority  of  Europe and Latin America, focusing on 
common  challenges  such  as  pollution,  loss  of  biodiversity,  energy,  waste  and 
management,  in  connection  with  both  environment  protection  -  climate  services  and 
nature-based solutions for sustainable cities, such as risk prevention, as well as with food 
and agriculture resources -soil monitoring, water pollution impacts, etc.  

In  order  to  promote  cooperation,  the  EU's  'Multi-stakeholder  dialogue  platform  to 
promote innovation with nature' explicitly refers to fostering dialogue and collaboration 
with Latin-American partners.  

Synergies  are  also  being  explored  between  Horizon  2020  and  the  EU  Climate  Change 
Regional  Cooperation  Programme  for  Latin  America  -  EUROCLIMA61  to  link  policy 
making with research and innovation actions in the area of Knowledge Management for 
Climate Services.   

In  the  area  of  health  research,  the  recent  outbreak  of  the  ZIKA  virus  has  shown  that  a 
network such as the Global Research Collaboration for Infectious Disease Preparedness 
(GloPID-R)  is  crucial  in  quickly  gathering  resources  from  both  EU  and  CELAC.  A 
dedicated Horizon 2020 call on ZIKA was launched in March 2016 to set up a research 
network  across  Latin  America  to  facilitate,  coordinate  and  implement  urgent  research 
against the ZIKA outbreak, and lay the foundation for a preparedness research network 
against future emerging severe infectious threats.  

Other health topics of future cooperation concern primarily chronic diseases, infectious 
diseases  and  anti-microbial  resistance.  CELAC  countries  are  encouraged  to  join  the 
multilateral  health  initiatives  through  which  the  EU  structures  its  international 
cooperation  in  these  areas.  In  relation  to  chronic  diseases,  Mexico  and  Argentina  have 
joined the Global Alliance for Chronic Diseases (GACD). Regarding infectious diseases 
Brazil,  Mexico  and  Argentina  have  joined  the  Global  Research  Collaboration  for 
Infectious Disease Preparedness (GloPID-R). Argentina has also become an observer in 
the  Joint  Programming  Initiative  on  Anti-Microbial  Resistance62.  The  participation  in 
these  multi-lateral  initiatives  will  allow  CELAC  countries  to  work  closely  with  the  EU 
(and other funding agencies) to coordinate investments in health research.  

61 Under the Development Cooperation Instrument (DCI) 
62 http://www.jpiamr.eu/ 

52 

 
                                                 
In the area of energy, despite the substantial bilateral cooperation with Brazil (biofuels) 
and Mexico (geothermal), the potential for cooperation in energy research with CELAC 
is currently underexploited. As a first step, the potential to develop ocean energy research 
in cooperation with Chile, Mexico and other CELAC countries is to be further explored. 

In the area of ICT, the deployment of High Performance Computing is of key interest for 
EU-CELAC  cooperation.  Cooperation  also  focuses  on  innovative  services  with  link  to 
innovation stakeholders and end-user community representatives, e.g. through innovation 
hubs or “Living Labs”. 
The  EU's  strategic  partners  for  'Raw  Materials  Diplomacy'63  include  several  Latin 
American countries. The Horizon 2020 WP 2016-2017 on Raw Materials opens the door 
to  CELAC  participation,  notably  regarding  a  'World  Forum  on  Raw  Materials'  and  an 
'International network of raw materials training centres'. 

Finally, several initiatives related to Smart Specialisation are being implemented in some 
regions of CELAC countries,  notably in Argentina, Chile, Colombia, Peru, Mexico and 
Brazil, aiming at fostering regional competitiveness and economies, based in most of the 
cases  on  the  EU  experience  in  developing  research  and  innovation  smart  specialisation 
strategies. 

3.4.3.  Framework Conditions 

A positive step forward towards the improvement of the framework conditions for EU-
CELAC  cooperation  are  the  Implementing  Arrangements  signed  by  the  European 
Research  Council  with  Argentina  and  Mexico  in  2015.  These  allow  scientists  to 
temporarily join a research team run by an ERC grantee. Brazil, Peru, Colombia, Chile 
and  Uruguay  have  also  expressed  interest  in  signing  such  arrangements.  Significant 
progress has been made with Brazil in this regard. 

63 http://ec.europa.eu/growth/sectors/raw-materials/specific-interest/international-aspects/index_en.htm  

53